Broker-Dealer Compliance Specialist

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

Benefits offered by this job

401(k) eligibility

Medical benefits

Paid time off

Job summary

Nomura in New York is seeking a Distribution Compliance Associate within the Compliance department. The role administers the Delaware Distributors, L.P.

broker-dealer compliance framework, focusing on sales practices, licensing, testing, and continuing education, with close collaboration across business partners. You will contribute to manuals, procedures, conflict resolution, and periodic reviews, while analyzing regulatory changes to identify risks and opportunities.

Qualifications

• Bachelor’s degree in business, finance, or a related field.
• Minimum of 2-4 years’ relevant experience.
• Knowledge of securities regulations specifically broker dealer and investment adviser rules.
• Knowledge of ETF and private fund structures and regulations a plus.
• Demonstrates ability to influence and inspire others toward compliance excellence.
• Strong analytical skills and problem-solving abilities.

Responsibilities

• Administer framework for the firm’s limited purpose broker Delaware Distributors, L.P. compliance program, including sales practices, licensing/registration, testing/certification, and continuing education.
• Support the maintenance and implementation of broker dealer compliance manuals, policies and procedures.
• Collaborate with internal business partners to ensure broker dealer activities are compliant.
• Serve as a trusted advisor for broker dealer matters and escalate concerns proactively.
• Perform periodic reviews and compliance testing related to broker dealer requirements.
• Assist in creating and delivering quarterly and annual compliance reports and management reporting.
• Analyze compliance trends and regulatory changes to identify risks and opportunities and implement updates.
• Cross-train and assist in other areas of the broker dealer compliance program with operations, legal, and business development teams.
• Lead and contribute to strategic compliance initiatives and drive organizational capability.

Job description

Nomura in New York is seeking a Distribution Compliance Associate within the Compliance department. The role administers the Delaware Distributors, L.P.

broker-dealer compliance framework, focusing on sales practices, licensing, testing, and continuing education, with close collaboration across business partners. You will contribute to manuals, procedures, conflict resolution, and periodic reviews, while analyzing regulatory changes to identify risks and opportunities.