Compliance Officer, EMEA Control Room (3 Months Contract)

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 www.nomura.com

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 guidelines and reputational matters which impact Control Room and Private Side Compliance
• Interpreting regulatory consultation or discussion papers, advising senior management of their content and business impact
• Participating in EU regulatory policy development through interaction with trade associations or directly with regulators

Skills, experience, qualifications and knowledge required

• • Relevant Compliance experience at major investment bank, at an exchange or regulator
• Ability to work to very short deadlines and make quick and reasoned decisions
• Practical experience of the application of European and US regulations that apply to Research product
• Ability to identify issues and know when to escalate them
• A good overview in all aspects of Control Room activities, particularly regulations and best practices concerning information barriers and the ability to communicate these effectively throughout the organisation as well as the ability to establish strong contacts within the industry
• Excellent communication skills, both written and verbal are essential, along with strong influencing, problem solving, organisational, and stakeholder management skills
• Self-motivated, organised, and results orientated. Ambition to continue to develop and progress

Nomura Leadership Behaviours

• 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 problems and effectively prioritize actions or recommendations.
• Inspire Entrepreneurship in People: Inspire team members through effective communication of ideas and motivate them to actively enhance productivity.
• Elevate Organizational Capability: Engage proactively in professional development and enhance team productivity through the promotion of knowledge sharing.
• Inclusion: Respect DEI, foster a culture of inclusion and psychological safety in the workplace and cultivate a "Risk Culture" (Challenge, Escalate and Respect).

Right to Work

The UK Government have taken steps to reduce net migration to the UK by limiting the number of overseas workers coming to the UK for employment. Please note that whilst we are able to consider applications from overseas workers from outside the UK (who require a Tier 2 Skilled Worker visa) we can only employ them if we can provide evidence that this is a genuine vacancy for a qualified role.

Diversity & Inclusion

Nomura is an equal opportunity employer. We value diversity and are committed to ensuring we best reflect the diversity of the communities we serve creating an inclusive environment for all our employees. We welcome all applications and do not discriminate on the basis of age, disability, gender identity and gender expression, pregnancy and maternity, marriage and civil partnership, race, religion or belief, sex or sexual orientation.

If you require any assistance or reasonable adjustments due to a disability or long-term health condition, please do not hesitate to contact us.