COM-Central Compliance

The responsibilities of this role include:

Client Assets

- Acting as the first point of contact within compliance for Client Assets requirements.

- Providing regulatory advice and challenge on the FCA Client Asset Rules

- Providing second line support to the annual external audit process on Client Assets working with Operations and the External Auditors

- Identifying and supporting regulatory change in respect of Client Assets

Complaints

- Acting as the second line oversight of Client Complaints, maintaining the relevant policy, process and documentation

- Undertaking second line testing on Client Complaints.

Record Keeping

- Maintain the Record Keeping framework for the UK entities

- Manage an annual attestation process that all required records for MIFID, EMIR, MAR and SMCR are being kept in line with requirements

- Undertake second line testing and assurance work that records are being kept in line with requirements and attestations.

As part of the broader Corporate Compliance team, the role also provides cover and additionals support and second line challenge to the relevant Corporate Functions on:

- Non-Financial Regulatory Reporting (MiFID, EMIR, SFTR, CFTC & SEC);

- Management of Third Parties

Key Objectives critical to success

To provide this support and challenge, the role will include:

- Interpreting the regulation including scope and field analysis

- Supporting the effective implementation of Regulatory Change in partnership with key stakeholders

- Participating in periodic compliance risk assessments, identifying gaps within the process, and implementing appropriate second line controls

- Working collaboratively with a range of stakeholders ensuring positive and effective engagement

- Preparing MI reporting and ensure accurate & timely reporting to all stakeholders

- Assisting in enhancing the compliance monitoring and testing framework

Skills, experience, qualifications and knowledge required

- Detailed knowledge of UK Client Asset requirements

- The ability to liaise with key stakeholders across Operations and other functions

- The ability to liaise with and help manage relationships with stakeholders such as external and internal auditors

- Excellent communication and relationship management skills, including the ability to engage and manage front office and corporate colleagues across the firm

- Proven experience in assessing and managing risk

- Analytical approach with ability to provide constructive challenge

- Strong resilience and ability to work under pressure

- Risk aware with an ability to prioritise information and topics accordingly

- High level of proficiency on key MS Office packages (Word, Powerpoint, Excel)

We are committed to providing equal opportunities throughout employment including in the recruitment, training and development of employees. We prohibit discrimination in the workplace whether on grounds of gender, marital or domestic partnership status, pregnancy, carer’s responsibilities, sexual orientation, gender identity, gender expression, race, color, national or ethnic origins, religious belief, disability or age.

*Applying for this role does not amount to a job offer or create an obligation on Nomura to provide a job offer. The expression "Nomura" refers to Nomura Services India Private Limited together with its affiliates.

*The benefits are subject to change and will be in accordance with Company’s policies as may be applicable from time to time).