Compliance Officer, Finance & Banking

Join to apply for the Compliance Officer (4 months contract) role at Nomura

Join to apply for the Compliance Officer (4 months contract) role at Nomura

Job title:
Compliance Officer (4 months contract)

Job Type: Temporary (PAYE)

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

Department overview:

The legal and compliance Department works with all divisions in the firm to assist in the development and maintenance of a strong compliance culture and to support the embedding of appropriate behaviours within the firm’s Wholesale operating practices.

Nomura Compliance EMEA provides advice and guidance to the Instinet Business on the interpretation and application of regulations applicable to its agency brokerage services, as an operator of a Multilateral Trading Facility (Block Match) and for its payment services. Compliance also monitors for the effectiveness of the systems and controls used to manage and mitigate regulatory risks within the business. The Compliance Officer will specifically be responsible for developing and enhancing the firm’s regulatory framework through reactive and proactive engagement with Front Office, Operations, IT etc.,

undertaking reviews of the firm’s compliance with policies and regulations, assisting with the firm’s market conduct surveillance program, opining on AML/KYC requirements and providing training on regulatory matters to relevant staff. In addition, the Compliance Officer will have specific, delegated responsibility for overseeing day to day AML/Financial Crime on-boarding and KYC refresh requirements.

In addition to a Nomura legal entity reporting line, the role has a functional reporting line to the Instinet Head of European Compliance, based in London.

• Provide sound, timely and valuable input and advice to relevant areas of the firm on all aspects of applicable rules and regulation. This includes, but is not limited to, market conduct rules, anti-money laundering and counter terrorism legal requirements, algorithmic trading regulatory requirements, various trading platform rules, cross-border licensing requirements, relevant European Regulations (e.g. MiFIR/MIFID II), and systems and controls requirements;
• Assist the Instinet Head of Compliance Europe in oversee Compliance risks, as directed;
• Attend relevant governance fora, as directed;
• Overseeing day to day AML/Financial Crime on-boarding and KYC refresh requirements;
• Respond to regulatory requests for information from domestic and overseas Competent Authorities and trading platforms, ensuring that all responses are accurate, timely and completed to the highest standard;
• Assist in the performance of monitoring reviews, which are designed to check and challenge adherence to policies and procedures;
• Assist in the strategic enhancement and delivery of the firm’s monitoring and testing program;
• Review and draft internal procedures, policies and guidance which will also involve the interpretation of regulatory requirements to ensure that they are understood and robustly implemented within the systems and controls environment;
• Provide support to Continental Compliance colleagues and the global Instinet Compliance team;
• Maintain up to date knowledge of relevant regulatory developments and rule changes affecting the firm, taking initiative to communicate and identify new risks;
• Provide advice, check and challenge around Instinet’s compliance with regulatory expectations around , Algorithmic Trading Controls, anti-money laundering and counter terrorism legal requirements.
• Assist in the drafting and delivery of Compliance training across the firm;
• Assist in…