Compliance Officer, EMEA Control Room

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Job Code: 15207

Country: GB

City:
London

Skill Category:
Compliance

Description:

Company overview

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

Department Overview

Working as a member of the Private Side Compliance team (which includes the Control Room and Investment Banking & Research Advisory Compliance), you will have responsibility for providing Control Room services and support to the IB, Global Markets, Research and Corporate departments in EMEA.

We are seeking a candidate with experience of delivering Control Room services across a wide range of products. Working within the London based Control Room in a team of 4 and a support team in India of 4-6, this is a key business facing role which requires an individual with excellent technical knowledge and communication skills to proactively respond to business needs whilst identifying and implementing change and development programs to enhance Control Room related procedures and systems.

Role description:

This is a comprehensive Compliance coverage role, with a predominant focus on Nomura’s investment banking businesses including:

• Transaction advice, including conflicts analysis across a board range of investment banking products and services
• Facilitation of processes and provision of advice relating to information barriers, watch lists, restricted lists, wall crossings, personal account dealing, outside business interests, conflicts of interest, trading, research clearance and vetting requests and related issues
• Business advice regarding the management of confidential information and inside information
• Compliance support across applicable regulations and supporting regulatory change, such as Market Abuse Regulations (Insider Lists, Market Sounding etc.) and MiFID
• Provision of training to Business and Corporate areas on key Control Room and IB related topics
• Supporting the Private Side Compliance team initiatives, including review, creation and development of policies and procedures
• Monitoring and review of business compliance with relevant policies and procedures
• Preparing Compliance Management Information for senior management within the firm
• Engagement with Front Office Supervision and Conduct Risk programs as appropriate
• Working closely with the regional and global private side Compliance team members and also with business management on business change initiatives with Compliance impact
• Working closely with other Compliance teams, risk and control functions to facilitate a cohesive control environment
• Assisting with regulatory inquiries and interacting with regulators in relation to investigations related to information barriers/insider trading as well as assisting in the maintenance of internal policies and procedures
• Identifying solutions and contributing to the efficiency of processes and procedures for the Global Control Room team through frequent interaction with regional colleagues

In addition the role requires:

• Keeping up to date with regulatory requirements, internal policies and procedures, best practice…