Trading Controls Associate

Select how often (in days) to receive an alert:

The pay range for this position at commencement of employment is expected to be between $120K and $130K/year * (see below footnote for additional compensation and benefits information).

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 newly established Global Trading Controls team operates within the Global Middle Office function, a core component of Global Operations. With a strategic presence across key financial centers in Asia, EMEA, India, Japan & the United States, Global Operations encompasses Global Middle Office, Client Services, Collateral Management, Shared Services, Regulatory Reporting and Wealth Management, delivering comprehensive and integrated operational support across the firm.

The Global Trading Controls team is responsible for the design, implementation and ongoing maintenance of critical regulatory and legal entity control frameworks for the business divisions. The team provides both strategic guidance and operational support for the firm’s global portfolio of control initiatives, ensuring robust governance and compliance frameworks are embedded throughout the organization.

This position reports directly to the Global Head of Trading Controls, based in London. The role holder will assume full responsibility and oversight for the US portfolio, with a primary focus on US regulatory controls and booking structure frameworks. The position will provide strategic business partnership and functional support to stakeholders across the region, ensuring alignment with global standards and engagement of appropriate stakeholders firm wide.

• Work closely with Global Legal & Compliance teams to interpret and assess the impact of new regulation and changes to existing regulatory frameworks
• Design controls to embed within Nomura's control frameworks, leveraging knowledge of Nomura’s infrastructure and static data architecture
• Write detailed Business Requirements Documents (BRDs) for IT teams, ensuring clarity of requirements and obtaining sign-off from all relevant stakeholders globally

• Co-ordinate the development, prioritization and implementation/ enhancement of key regulatory controls across front-to-back internal systems to ensure timely compliance with regulatory deadlines
• Serve as the liaison between business units, IT and accountable stakeholders, translating regulatory guidance, Nomura’s system infrastructure, product, counter party and legal static into actionable specifications
• Manage dependencies, ensure relevant static is in place for validation and review rule validation steps

• Write comprehensive testing runbooks and co-ordinate global test cycle management, including test environment and static data configuration
• Review test evidence and ensure readiness for senior management approvals
• Engage with senior management globally for sign-off of requirements, runbooks and before release into production
• Analyse existing controls and regulatory rules to assess effectiveness against the regulation and enforce the annual attestation process
• Review exception data and drive enhancements to improve control effectiveness and drive efficiencies

• Ensure regulatory changes and control operating models, including investigation and escalation procedures are communicated and understood across global stakeholders
• Attend regulatory and trading control…