Distribution Compliance Associate

Location: New York

Job Title:

Distribution Compliance Associate
 Corporate

Title:

Associate
 Department:
Compliance

Location:

New York
  
 The pay range for this position at commencement of employment is expected to be between $100,000 and $125,000 per year* (see below footnote for additional compensation and benefits information).
  
 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  
 Aon’s Benefit Index®, Nomura’s benefits rank #1 amongst our competitors
  
 Division Overview: NAM International
 The international business brings together a legacy of investing in public and private markets on a global scale. Through active management, we deliver differentiated and innovative solutions across equities, fixed income, multi-asset, and private credit supported by a team of disciplined and tenured investment professionals. Building upon Nomura’s century long heritage, our teams are responsible stewards of clients’ capital. We approach everything we do with accountability, curiosity, and integrity to help clients across wealth and institutional channels navigate an ever-changing market, capture opportunities around the world, and reach long-term investment goals.
  Role

Description:

As an Associate, Compliance, you will:

 Administer framework for various aspects of the firm’s limited purpose broker Delaware Distributors, L.P. (“DDLP”) compliance program. Specifically, efforts relating to sales practices, licensing/registration, testing/certification, and continuing education.
 Support the maintenance and implementation of broker dealer compliance manuals, policies and procedures.
 Work closely with internal business partners to ensure that all broker dealer activities are compliant.
 Serve as a trusted advisor for broker dealer matters, fostering open communication and encouraging proactive escalation of concerns.
 Perform periodic reviews and compliance testing relating to various broker dealer requirements.
 Assist in the creation and delivery of quarterly and annual compliance reports and management reporting.
 Analyse compliance trends and regulatory changes to identify potential risks and opportunities then implement necessary updates.
 Cross train and assist in other areas of the broker dealer compliance program and coordinate with operations, legal, and business development teams on compliance matters.
 Lead and contribute to strategic compliance initiatives, demonstrating ownership and driving organizational capability enhancement.

Skills, experience, qualifications and knowledge required:

 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 with ability to identify trends and strategic opportunities.
 Detail-oriented with ability to work in unstructured situations and shift quickly to new tasks when priorities change.
 Ability to work effectively across different levels of the organization.
 Excellent written and verbal communication skills.
 Self-starter; proactive approach to work assignments; willingness to learn and work in a team environment.

Experience with automated compliance solutions for monitoring, regulatory reporting, digital recordkeeping, and real-time surveillance of sales activities.
 Ability to work with modern distribution channels, integrate compliance systems with fintech platforms, and leverage data analytics for risk assessment and…