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About the Role

This is a comprehensive Compliance coverage role, with a predominant focus on Nomura’s investment banking businesses, providing Investment Banking Advisory services and support to the IB department in EMEA.

Responsibilities

• Provide transaction advice, including conflicts, licensing, reputational & compliance analysis across a broad range of investment banking products and services.
• Facilitate processes and provide advice relating to information barriers, watch lists, management of confidential information, restricted lists, wall crossings, conflicts of interest, trading, licensing and related issues.
• Attend as a compliance representative at potential business committee forums.
• Provide compliance support across applicable regulations and support regulatory change, such as Market Abuse Regulations and MiFID.
• Deliver training to Business and Corporate areas on key Private Side Compliance topics.
• Support Private Side Compliance team initiatives, including review, creation and development of policies and procedures.
• Monitor and review business compliance with relevant policies and procedures.
• Prepare Compliance Management Information for senior management.
• Engage with Front Office Supervision and Conduct Risk programs.
• Collaborate with regional and global private side Compliance team members and business management on business change initiatives with Compliance impact.
• Work closely with other Compliance teams, risk and control functions to facilitate a cohesive control environment.
• Assist with regulatory inquiries and interact with regulators in relation to investigations.
• Assist in the maintenance of internal policies and procedures.
• Identify solutions and contribute to the efficiency of processes and procedures across IB Advisory and Private Side teams.
• Keep up to date with regulatory requirements, internal policies and procedures, best practice guidelines and reputational matters impacting Private Side Compliance.
• Interpret regulatory consultation or discussion papers, advising senior management of their content and business impact.
• Participate in EU regulatory policy development through interaction with trade associations or directly with regulators.

Requirements

• Relevant Compliance experience at a major investment bank, at an exchange or regulator is beneficial.
• Ability to work to very short deadlines and make quick and reasoned decisions.
• Practical experience of the application of European and US regulations applicable to financial services, particularly Investment Banking.
• Ability to identify issues and know when to escalate them.
• Comprehensive overview of key aspects of Private Side Compliance activities, particularly regulations and best practices concerning information barriers, conflicts, licensing, and other compliance requirements.
• Excellent communication skills, both written and verbal.
• Strong influencing, problem solving, organisational, and stakeholder management skills.
• Self-motivated, organised, and results-orientated.
• Ambition to continue to develop and progress.

Skills

• Communication skills
• Influencing skills
• Problem solving skills
• Organisational skills
• Stakeholder management skills

Location

• London

Work Type

• Temporary
• PAYE
• Contract

Experience Level

• 3 Months

About the Company

• Nomura is a financial services group with an integrated global network, servicing the needs of individuals, institutions, corporates and governments through its four business divisions: Wealth Management, Investment Management, Wholesale (Global Markets and Investment Banking) and Banking.
• Driven by the insights of some 28,000 people worldwide, Nomura puts clients at the center of everything it does, delivering unparalleled access to, from and within Asia.

Equal Opportunity

• Nomura is an equal opportunity employer.
• We value diversity and are committed to ensuring we best reflect the diversity of the communities we serve creating an inclusive environment for all our employees.
• We welcome all applications and 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