Broker-Dealer Compliance Associate

Nomura Holdings, Inc.; New York (NY); On-site; USD 100,000 - 125,000; Full time

Job summary

Nomura Holdings, Inc. in New York invites applications for Distribution Compliance Associate in the NAM International division.

This role supports the broker-dealer compliance program for DDLP and regulatory requirements across sales practices, licensing, testing, and continuing education. You will collaborate with internal partners, prepare quarterly and annual reports, analyze regulatory changes, and drive strategic compliance initiatives.

Qualifications

• Bachelor’s degree in business, finance, or a related field.
• 2–4 years of relevant experience in securities compliance.
• Knowledge of broker-dealer and investment adviser rules.
• Strong analytical and communication skills; ability to work across teams.

Responsibilities

• Administer framework for DDLP compliance program, including sales practices and licensing/registration.
• Maintain broker-dealer manuals, policies and procedures.
• Collaborate with internal partners to ensure compliance of activities.
• Prepare quarterly and annual compliance reports and management reporting.
• Analyze regulatory changes and implement updates.
• Coordinate with operations, legal, and business development teams on compliance matters.
• Lead strategic compliance initiatives and drive organizational capability enhancement.

Skills

Analytical skills

Problem solving

Communication skills

Self-starter

Team oriented

Risk assessment

Data analytics

Detail-oriented

Influence others

Education

Bachelor’s degree in business/finance or related field

Tools

Regulatory reporting software

Surveillance systems

Job description

Nomura Holdings, Inc. in New York invites applications for Distribution Compliance Associate in the NAM International division.

This role supports the broker-dealer compliance program for DDLP and regulatory requirements across sales practices, licensing, testing, and continuing education. You will collaborate with internal partners, prepare quarterly and annual reports, analyze regulatory changes, and drive strategic compliance initiatives.