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About the Role
Nomura Asset Management is seeking a compliance professional to review marketing materials and client communications, ensuring adherence to regulatory standards across multiple markets. This role provides crucial regulatory guidance and support to business teams, contributing to efficient and compliant operations.
Responsibilities
- Review marketing materials and client communications for compliance with FCA requirements and applicable local regulatory standards across UK, EU, Africa, and Middle East markets.
- Provide timely responses to meet business demand.
- Offer regulatory guidance and support to Distribution colleagues and compliance teams on marketing materials requirements and cross-border distribution arrangements.
- Maintain accurate records of reviews and approvals.
- Support process improvements to enhance review efficiency.
Requirements
- Experience in a compliance role within financial services, ideally within asset management or investment management.
- Strong working knowledge of FCA Conduct of Business rules, particularly relating to financial promotions and client communications.
- Experience reviewing marketing materials, presentations, and client communications for regulatory compliance.
- Excellent attention to detail with ability to identify regulatory risks and provide practical, commercial solutions.
- Strong written and verbal communication skills, with ability to explain regulatory requirements clearly to non-compliance colleagues.
- Ability to work under pressure, manage competing priorities, and deliver timely responses to meet business deadlines.
- Proficiency in Microsoft Office (Word, Excel, PowerPoint).
Skills
- FCA Conduct of Business rules
- Financial promotions
- Client communications
- Regulatory compliance
- Risk identification
- Commercial solutions
- Written communication
- Verbal communication
- Microsoft Office (Word, Excel, PowerPoint)
Location
- UK
Work Type
- Full-time
Experience Level
- Mid-level
About the Company
- Nomura is a financial services group with an integrated global network, connecting markets East & West.
- The company services the needs of individuals, institutions, corporates and governments through four business divisions: Wealth Management, Investment Management, Wholesale (Global Markets and Investment Banking) and Banking.
- Nomura is driven by the insights of approximately 28,000 people worldwide.
- The company focuses on delivering unparalleled access to, from and within Asia.
- Nomura Asset Management is headquartered in Tokyo, with NAM-UK being the largest overseas office.
Equal Opportunity
- Nomura is an equal opportunity employer.
- We value diversity and are committed to creating an inclusive environment for all our employees.
- We do not discriminate on the basis of age, disability, gender identity and gender expression, pregnancy and maternity, marriage and civil partnership, race, religion or belief, sex or sexual orientation.
- If you require any assistance or reasonable adjustments due to a disability or long-term health condition, please do not hesitate to contact us.
- Nomura is an Equal Opportunity Employer