Global Markets Compliance; Vice President

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Job Code: 13898

Country: GB

City:
London

Skill Category:
Compliance

Description:

Job Title:

Global Markets Compliance

Corporate

Title:

Vice President

Department:
Compliance

Location:

London

Nomura is a financial services group with an integrated global network. By connecting markets East & West, we service the needs of individuals, institutions, corporates and governments through our four business divisions:
Wealth Management, Investment Management, Wholesale (Global Markets and Investment Banking) and Banking.

Driven by the insights of some 28,000 people worldwide, we put our clients at the center of everything we do, delivering unparalleled access to, from and within Asia. For further information about Nomura, visit

Nomura's Compliance department is at the forefront of maintaining regulatory adherence and ethical standards. Our team works diligently to ensure that our business operations align with industry regulations and internal policies. Join us to contribute to a culture of integrity and help safeguard our clients' trust.

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.

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 Macro Markets businesses, assisting and resolving compliance, transactional and other issues arising from business activities
• This is a broad role which will encompass, inter alia, FX and Rates products
• In addition, the position involves supporting the remainder of the Global Markets Compliance team with coverage of the Fixed Income trading floor (Credit, Equity inc, Prime, Structured Products)
• 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

• 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

• Explore Insights & Vision: Identify the underlying causes of problems faced by you or your team and define a clear vision and direction for the future.
• Making Strategic Decisions :
  Evaluate all the options for resolving the…