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Job Title:  Control Room Compliance Officer (4 Months Contract)

Job Code:  9085
Country:  GB
City:  London
Skill Category:  Compliance
Description: 

Job title:                     Control Room Compliance Officer (4 Months Contract)

Job Type:                   Temporary (PAYE)

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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:

 

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.

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 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, 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 Control Room or Private Side Compliance experience at an investment bank is a must.
  • 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 financial services, in particular Investment Banking and Research.
  • Ability to identify issues and know when to escalate them.
  • A good overview in key aspects of Control Room activities, particularly regulations and best practices concerning information barriers and the ability to communicate these effectively throughout the organisation.
  • 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.

 

 

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

 

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