Compliance Officer - Corporate Compliance

  • Negotiable
  • London, England, United Kingdom
  • Permanent, Full time
  • Nomura
  • 11 Nov 18

An exciting opportunity has become available for a Regulatory Compliance Officer to join the team.

Company overview

Nomura is an Asia-based financial services group with an integrated global network spanning over 30 countries. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Retail, Asset Management, and Wholesale (Global Markets and Investment Banking). Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought leadership. For further information about Nomura, visit

Department overview:

Nomura's EMEA Compliance department support's the firm's management of Compliance Risk across the Global Markets, Investment Banking and Corporate functions in the EMEA region through the development and implementation of advisory, monitoring and training activities. The Team works with Compliance colleagues globally with the objective of creating a more standardised global operating model.

The Central Compliance team which forms part of the overall Compliance structure divides into two sub-teams:

  • Employee Compliance and Training. This team is supported by team members based offshore in India and manages;
    • Personal conflicts (personal account dealing, gifts & entertainment and outside business activities)
    • Employee registration and certification
    • Compliance training
  • Corporate Compliance. This is a team of two and provides Compliance support to the Corporate Functions, in particular the Operations function where the primary focus is the areas of transaction reporting and client asset protection but also covering a number of key areas of regulatory focus.

The role is in the Corporate Compliance team and the role includes the following key areas:

  • In conjunction with the other team member, managing the Compliance relationships with the Corporate functions, particularly but not limited to Operations.
  • Supporting the development of the Compliance oversight model of the Corporate compliance Team including further development of the roles and responsibilities of the team within a three lines of defence model.
  • Working with another team member and other colleagues within Compliance to ensure efficient, effective and consistent Compliance support and challenge is provided to the Corporate Functions
  • Working with other functions both within Compliance and more broadly to ensure positive and effective engagement in the management of Nomura's Compliance risk.

Key objectives critical to success:

  • Ability to work collaboratively with a range of stakeholders ensuring positive and effective engagement.
  • Excellent understanding of the regulatory obligations on Corporate Functions with a particular focus on post trade reporting, client assets, outsourcing and clearing along with the ability to apply this knowledge to deliver practical and sustainable Compliance solutions.
  • Broad regulatory experience and a track record of working with stakeholder to deliver practical and sustainable regulatory solutions.
  • The ability to define clear actions plans from unstructured information

Skills, experience, qualifications and knowledge required:

  • An engaging and collaborative style that ensures effective, timely and practical
  • A good understanding of the UK regulatory framework and it's application within an investment bank
  • Ability to manage, oversee and develop a more junior team member
  • A good understanding of process and control frameworks within a three lines of defence model
  • Strong analytical, written and communication skills
  • A track record in delivering change projects in a compliance / regulatory environment
  • Superior time management skills
  • Experience with Word Excel and Powerpoint
  • Adaptability to changing demands