Job Title:  Client Assets Specialist (Paternity Leave Cover)

Job title: Client Assets Specialist

Job Type: Temporary (PAYE)

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.

Department overview:

Operations Risk and Control Client Assets team are responsible for daily operational oversight and management of regulatory processes ensuring compliance with FCA CASS Rules. In addition the team is responsible for assessing impact to these processes by future regulatory legislation ensuring regulatory change governance.

Role description:

This role requires the successful individual to be/have

• An understanding of the FCA requirements as they relate to Client Assets including all relevant CASS rules, Principles and SYSC
• Liaison with external auditors for the Annual CASS audit. Coordination of audit requests and queries. Collation of responses and providing responses and evidence to the auditors.
• Assist in the review and signoff on New Business and New Product assessments.
• Assist in the performance of the Client Assets BAU functions including Client money sign off, CASS RP maintenance, CMAR validation, KRI collation.
• Assist with the CASS RP process including weekly attestations, quarterly testing and annual CASS RP refresh
• Assist with review and approve the monthly Client Money Asset Return process which would include validating each area of the report
• Assist with managing the incident documentation process which would include communicating with all areas involved, documenting the issue and adhering to the escalation procedure
• Assist with maintenance of the CASS risk and control documentation which would include managing the attestation process and the periodic refresh
• Assist with management of the CASS quarterly statement process including the exception management process
• Assist with annual update and distribution of the firms CASS training

Skills, experience, qualifications and knowledge required:

Ideally, the successful individual will be an SME in Client Asset Protection, with a good understanding of the FCA Client Asset rules and the current regulatory environment, as well as the ability to assess the impact of upcoming regulatory changes. It is essential that the successful individual possesses the below skills.

• Knowledge of Client Assets rules and requirements
• Excellent communication skills – up/down/across
• Good analysis and problem solving skills
• Self starter

Nomura competencies

Trusted Partner

• Understand clients’ needs and issues, and respond with high-quality proposals
• Acquire capabilities to perform one’s responsibilities and contribute to being a Trusted Partner

Entrepreneurial leadership

• Produce new ideas that might challenge the status-quo or oneself

Teamwork Collaboration

• Seek advice from senior colleagues and utilize it for improved results
• Collaborate with members from relevant departments

Influence

• Contribute to the success of the organization both quantitatively and qualitatively, and act with awareness of the impact on others
• Serve as role model and provide guidance to junior employees

Integrity

• Have a good understanding of corporate philosophy, professional ethics, compliance, risk management, and code of conduct, and make decisions and take actions accordingly

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 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.

Right to Work

The UK Government have taken steps to reduce net migration to the UK by limiting the number of overseas workers from outside the EEA coming to the UK for employment. Please note that whilst we are able to consider applications from overseas workers from outside the EEA (who require a Tier 2 (General) visa) we can only employ them if we can provide evidence that there are no other suitable candidates for this vacancy from inside the EEA.

Please contact us if you are visiting our offices and require any form of personal assistance or physical adaptations to be provided for your appointment.  A member of staff will be happy to help.

Nomura is an Equal Opportunity Employer