Job Title:  VP Wholesale Compliance

Company overview

Nomura is a global financial services group with an integrated network spanning approximately 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Wealth Management, Investment 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 www.nomura.com.

Skills, experience, qualifications and knowledge required:

• Completed studies in law, economics or similar studies, professional education and relevant professional experience, ideally holding relevant certificate such as CISI or ICA
• Minimum 5 years of relevant professional experience including providing trainings and on Personal Account Dealing rules
• Capital Markets Compliance Advisory knowledge
• Regulatory (DFSA) Compliance knowledge, including the UAE AML legislation
• Fluent in English, Arabic is an additional asset
• Good written and verbal communication skills
• Self-starter, solution oriented, good organizational skills
• Ability to work both individually and in a team
• Strong analytical skills
• Ability to work against different timelines
• Opportunity to drive change and to optimize regulatory processes
• Microsoft Office (Excel, Power Point)

Tasks/Responsibilities:

• Advising the MENA Global Markets business functions on compliance-relevant matters regarding the above mentioned scope, including but not limited to related regulatory requirements, new business initiatives, new products and jurisdictions, considering commercial opportunities and highlighting risks as appropriate, enabling the business to take sustainable strategic decisions in line with the firm’s risk appetite
• Act as Deputy MLRO for the branch
• Interact with the DFSA as appropriate in case of queries
• Managing the day-to-day operations of the compliance program, conducting periodic compliance reviews and providing reports
• Executing compliance monitoring and testing activities, identifying and reporting on issues and exposures. Driving closure of compliance monitoring report recommendations to resolution
• Advising the business on Nomura’s Personal Account Dealing policies, performing relevant controls
• Undertaking various reporting activities including compliance audits and risk assessments
• Assisting in the maintenance of compliance policies and registers
• Delivering compliance training to staff
• Working collaboratively with Compliance colleagues across EMEA
• Contribute to the protection of Nomura, its reputation, regulatory risk and investors through participation in the identification, reporting and management of regulatory and marketing risks and through provision of proactive support to specific business areas
• Preparing regulatory registrations, reporting and returns to the DFSA within set time frames

Diversity Statement

Nomura is committed to an employment policy of equal opportunities, and is fundamentally opposed to any less favourable treatment accorded to existing or potential members of staff on the grounds of race, creed, colour, nationality, disability, marital status, pregnancy, gender.

DISCLAIMER:  This Job Description is for reference only, and whilst this is intended to be an accurate reflection of the current job, it is not necessarily an exhaustive list of all responsibilities, duties, skills, efforts, requirements or working conditions associated with the job.  The management reserves the right to revise the job and may, at his or her discretion, assign or reassign duties and responsibilities to this job at any time. 

Nomura is an Equal Opportunity Employer