Job Title:  EMEA Sales Support and Regulatory Controls Associate (9 months Temp PAYE Contract)

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 www.nomura.com

Department overview:

Operations’ Client Service Group (CSG) consists of six functions including Entity Data, Sales Support, Regulatory Controls, Client Valuations, Client Onboarding and KYC. The department supports the EMEA Global Markets and Investment Banking Sales teams and Nomura’s UK and European booking entities.

Function Overview 

This role will cover two functions within CSG, Sales Support Oversight and Regulatory Controls

The Sales Support function acts as the primary contact group for sales desks and clients and provides the support & control infrastructure for the firm.  The team’s role is to minimize firm risk while achieving efficient processing for the market and client transactions. You will join an established team, focusing on delivering support to Sales and Clients with oversight of the EMEA Sales Support team which is based in Powai, India. A key focus will be on monitoring KRIs, resolving escalations and queries and driving efficiency, with an exceptional client service mindset.

The Regulatory Control team is involved in managing the firms adherence to Global regulations, and is responsible for handling point of trade queries from Sales and other corporate functions. Post trade exceptions and capture of Regulatory Data from Clients.

Role description:

We are looking for an experienced Ops professional preferably with a Sales Support or Regulatory background. The role will require familiarity with industry related directives such as EMIR, MiFID II, SFTR and Dodd Frank and the candidate will need a keen eye for detail and diligence.  Candidates will have a proven track record in delivering strategic controls and process improvement, and an ability to build strong relationships, both internally and externally, to drive enhancements to the client experience whilst creating internal efficiencies. Specifics of the role will include:

• Help identify areas for improvement and remediation to enhance the Regulatory Control process and Sales Support functions.
• Take an active part in developing and maintaining MIS to track performance and accuracy, oversee and challenge KRIs produced by the Sales Support team in India.
• Manage and resolve regulatory point-of-trade queries from Sales. Regulatory SME review required to ensure data discrepancies are investigated and remediated in a timely manner to ensure trades can be booked.
• Responsible for ensuring efficient trade processing across OTC and Cash products whilst following procedural, control and risk management requirements for the processes.
• Manage relationships with sales teams and trading desks, and business partners such as Global Operation Counterparts and Technology.
• Manage relationships with external clients and vendors, including email and phone query management, initiate client visits for operational review and present MIS reports during client meetings.
• Experience in managing outsourced or offshored teams.

Skills, experience, qualifications and knowledge required

• Educated to degree level or in the absence of that have appropriate banking experience.
• Keen eye for detail, methodical and accurate.
• Ability to articulate key messages through all mediums and escalate potential risks in a timely manner.
• Client oriented, with the ability to communicate at all levels internally and externally.
• Proven self-starter with the ability to work independently while supporting the overall goals of the team.
• Familiarity with industry related directives such as Dodd-Frank, EMIR, MIFID II, SFTR.
• Project and change management skills, track record in process enhancement and improvement.
• Knowledge of all major asset classes: equity, credit, rates, FX cash & derivatives and their data characteristics.
• Strategic thinker with strong analytical and problem solving skills.

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