Global Markets Compliance (Vice President)

Nomura Holdings, Inc.; London; On-site; GBP 80,000 - 120,000; Full time

Job summary

A leading financial services company seeks a Global Markets Compliance Vice President to provide compliance advice across its European Equities business. This role, located in London, involves extensive regulatory engagement and liaison with senior management, key in navigating the complexities of market compliance.

Benefits

Equal opportunity employer

Diversity and inclusion initiatives

Qualifications

• Knowledge of UK, EU regulations and trading venues.
• Ability to manage tasks well under pressure.
• Willingness to work in a trading floor environment.

Responsibilities

• Provide compliance coverage and regulatory advice to European Equities business.
• Analyse and assess new regulations and brief senior management.
• Participate in regulatory projects and provide training to the business.

Skills

Knowledge of rules and regulations relevant to a Global Markets business

Experience of a trading floor, business-facing Compliance role

Strong approach to problem solving

Well-developed analytical skills

Good verbal and written communication skills

Strong organizational skills

Good team player

Job description

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Job Title: Global Markets Compliance - Vice President

Job Code: 9382

Country: GB

City: London

Skill Category: Compliance

Description:

Job title: Global Markets Compliance

Corporate Title: Vice President

Department: Compliance

Location: London

Company overview

Nomura is a global financial services group with an integrated network spanning approximately 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Wealth Management, Investment Management, and Wholesale (Global Markets and Investment Banking). Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought leadership. For further information about Nomura, visit www.nomura.com .

Department overview

The successful applicant will work as part of the overall EMEA Compliance team to provide compliance advice to the Global Markets businesses and the wider Compliance Department. This is a trading floor-based role.

Role description:

Reporting to a senior member of GM Compliance Advisory, the position will involve:

• Providing Compliance coverage and day to day regulatory advice to Nomura’s European Equities business, assisting and resolving compliance, transactional and other issues arising from business activities
• This is a broad role which will encompass, inter alia, Equity Derivatives, Prime and distribution of Structured Products
• In addition, the position involves supporting the remainder of the Global Markets Compliance team with coverage of the Fixed Income trading floor (FX, Rates, Credit, Flow/Structured)
• Being a key stakeholder for applicable regulation (e.g. MIFID, MAR, Short Selling, PRIIPs)
• Keeping up to date with regulatory changes affecting the business
• Analysing and assessing new regulations and briefing senior management accordingly
• Being a stakeholder in regulatory projects, tracking progress and reporting results to ensure efficient and successful implementation
• Participating in internal and external enquiries including venue/exchange enquiries, regulatory enquiries
• The provision of regular and ad hoc training to the business
• The provision of management information
• Understanding and keeping up to date with the firm’s business, products and the regulatory and commercial environment in which it operates to ensure that appropriate compliance policies, procedures and standards are implemented
• Performing regular and ad-hoc monitoring and reviews

Skills, experience, qualifications and knowledge required:

• Knowledge of rules and regulations relevant to a Global Markets business (UK, EU, trading venue, cross border etc.)
• Experience of a trading floor, business-facing Compliance role is required
• Dodd-Frank swaps knowledge would be beneficial but not a pre-requisite
• Ability to work well under pressure and move between tasks quickly
• Strong approach to problem solving
• Genuine interest in the Financial Services industry
• Willingness to work in a trading floor environment with constant interaction
• Methodical with excellent attention to detail
• Good verbal and written communications skills with ability to communicate with sales/trading desks and relevant corporate support functions
• Well-developed analytical skills and ability to distil large quantities of complex information into high level briefings and impact analysis
• Strong organisational skills and an ability to work to short deadlines
• Good team player with strong stakeholder management skills who can interact well with peers and senior management within the Compliance team and in other divisions

Nomura competencies

Trusted Partner

• Understand clients’ needs and issues, and provide solutions utilizing Nomura Group company’s resources, earn the clients’ trust
• Acquire a wide range of knowledge as an employee of Nomura, instead of focusing only on one’s own area of expertise; play a part in improving the company’s services level and corporate value

Entrepreneurial leadership

• Take on new challenges for improvement and cultivate a corporate culture of challenge by driving change in business operations
• Teamwork Collaboration
• Ensure views are not biased, accept different opinions and perspectives, and collaborate with other members to create common values

Influence

• Provide appropriate guidance to others and act in a manner that places emphasis on the performance and growth of the organization

Integrity

• Improve further the understanding and awareness of corporate philosophy, professional ethics, compliance risk management, and code of conduct, and make decisions and take actions from a management position

Diversity Statement:

Nomura is committed to an employment policy of equal opportunities and is fundamentally opposed to any less favourable treatment accorded to existing or potential members of staff on the grounds of race, creed, colour, nationality, disability, marital status, pregnancy, gender 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.

Right to Work

The UK Government have taken steps to reduce net migration to the UK by limiting the number of overseas workers from outside the EEA coming to the UK for employment. Please note that whilst we are able to consider applications from overseas workers from outside the EEA (who require a Tier 2 (General) visa) we can only employ them if we can provide evidence that there are no other suitable candidates for this vacancy from inside the EEA.

Please contact us if you are visiting our offices and require any form of personal assistance or physical adaptations to be provided for your appointment. A member of staff will be happy to help.

Nomura is an Equal Opportunity Employer