Regulatory Reporting (Vice President)

Nomura; London; On-site; GBP 70,000 - 110,000; Full time

Job summary

An established industry player is seeking a senior Regulatory Reporting expert to join their Global Trade and Transaction Reporting team in London. This pivotal role involves enhancing the accuracy and completeness of reporting across various jurisdictions, collaborating with senior management, and driving improvements in reporting processes. The ideal candidate will possess extensive experience in regulatory operations, a strong understanding of key reporting regulations, and a proactive approach to problem-solving. Join a dynamic team at the forefront of financial services and make a significant impact on regulatory compliance.

Qualifications

• Experience in Regulatory Operations at a Vice President level.
• Good knowledge of reporting rules in jurisdictions like MiFID II and EMIR.

Responsibilities

• Improve accuracy and timeliness of global reporting.
• Coordinate remediation of complex reporting issues.

Skills

Regulatory Operations

MiFID II

EMIR

CFTC

Quality Assurance

Data Quality

Problem Solving

Communication Skills

Education

Bachelor's Degree

Master's Degree

Tools

Power BI

Kaizen Reporting

Job description

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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 Global Operations Department is responsible for critical pre and post trade processes that help our global sales & trading and investment banking businesses transact in financial products and meet client needs around the world. In Nomura, Operations is made up of 5 key groups:

• Risk & Control – This group is responsible for Regulatory Reporting, Reconciliations, Client Assets and Operational Risk
• Shared Services - Scope of services include Clearing & Settlement, New Issuance, ISDA Confirmations, Corporate Actions, Asset Servicing, Listed Derivatives, Cash Management and maintain our Agent Banking Relationship (Network Management).
• Client Services - The Client Services Group comprises of the following functions: Client On-boarding, KYC, Client Entity Data, Client Regulatory Support, Sales Support & Client Valuations.
• Performance Management – This team helps manage the Operations transformation portfolio and Business Intelligence & Analytics function.
• Business Aligned – This team comprises of the local Operations teams supporting Nomura Branches in Europe, Middle East and Africa (EMEA) and Asia and the Wealth Management Division in Asia ex-Japan (AEJ).

The Global Operations teams are based in the New York, London, Tokyo, Hong Kong Singapore and the global capability centre in Mumbai, India. There are also small satellite teams based in some AEJ and EMEA Branch locations.

The Global Regulatory Reporting team oversees our Trade and Transaction Reporting processes in all jurisdictions where Nomura conducts business. This includes our transaction reporting obligations under MiFIR, derivative/SFT reporting under major G20 regimes like EMIR, CFTC, SEC, CAD, SFTR, JFSA, ASIC, MAS HKMA, as well as central bank and local reporting obligations.

We are looking for a senior Regulatory Reporting expert to join our Global Trade and Transaction Reporting team. This role is based in London and will report to the Global Head of Regulatory Reporting.

The key responsibilities of this position will be as follows:

• Work closely with the Global Regulatory Reporting Management Team to improve the completeness, accuracy and timeliness of reporting across global jurisdictions.
• Support the Global head in running the secretariat of the Global Trade and Transaction Reporting Steering Committee.
• Develop and publish senior management and regulatory update packs and MIS.
• Perform selective deep dive on reporting performance to inform remediation plans and resource prioritization decisions.
• Build and maintain ongoing dialogue with key stakeholders to understand and align on strategy.
• Take ownership of selective deliverables under the Global Trade and Transaction Reporting Remediation Program such as building an internal front to back QA testing process.
• Coordinate cross functionally to drive targeted remediation of complex reporting issues.
• Conduct targeted risk assessments and process reviews along with the Operational Risk & Control team to identify improvement opportunities.
• Work closely with BAU onshore and offshore teams to improve existing processes and controls.

Skills, experience, qualifications and knowledge required:

• Experience in Regulatory Operations, ideally at a Vice President level
• Experience in other Operations functions like Middle Office will be a very big advantage.
• Good hands-on knowledge of reporting rules and technical specs in key jurisdictions like MiFID II, EMIR, CFTC, SEC, SFTR etc.
• Familiarity with regulatory rules and technical specifications
• Experience with Quality Assurance tools like Kaizen Reporting or similar.
• Experience with the breach remediation and notification process (FCA/CFTC)
• Hands on experience of fixing reporting issues – investigating root causes, writing technical requirements/JIRAs and testing.
• Experience in recent regulatory Refits and Rewrites in line role
• Prior experience with remediation programs in other banks – data quality, data model, rules interpretation and traceability, controls
• Prior experience of improving completeness, accuracy and timeliness of reporting
• Intellectually curious
• Very strong desire to challenge the status quo
• Confident, ‘can do’ attitude no matter the odds
• Independent, self-starter, can work with limited information
• Team Player
• Able to modulate communication style to suit senior audience
• Familiarity with digital tools like Power BI
• 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
• Take on new challenges for improvement and cultivate a corporate culture of challenge by driving change in business operations
• 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

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.

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.

Nomura is an Equal Opportunity Employer

Seniority level

• Seniority level

  Not Applicable

Employment type

• Employment type

  Full-time

Job function

• Job function

  Other

• Industries

  Banking and Financial Services

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