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Job Title:  Senior Manager and Certification Regime Contractor (6 months Contract)

Job Code:  8017
Country:  GB
City:  London
Skill Category:  Compliance
Description: 

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:

Nomura’s EMEA Legal, Compliance & Controls (LCC) department works to offer advice, guidance and oversight to the business on all matters related to regulatory compliance in the region.  The team works very closely with all departments across the firm and with other LCC teams in Nomura globally to offer consistent advice and solutions in a rapidly changing and evolving regulatory environment.

The Senior Manage and Certification Regime (SMCR) Function team is responsible for managing the Senior Manager & Certification Regime requirements across Nomura’s UK entities. The SMCR Function is part of a broader team that also manages Compliance Registrations and Compliance Training.

The work of the Function includes:

  • Supporting the process of registering Senior Managers and other relevant staff with the PRA / FCA
  • Ongoing management of any changes to the Senior Managers Statement of Responsibilities Supporting the process to keep the Management Responsibility Map up to date on an ongoing basis in the Trailight system
  • Providing advice to the business and functions on SMCR and management of the Senior Management Regime Framework
  • Work with colleagues both in London and offshore (India) to ensure delivery in respect of the above,  including colleagues in Compliance Registrations
  • Review and enhance onshore and offshore processes, policies and systems to ensure they are fully aligned and to highlight and support the implementation of control and process enhancements and efficiency gains
  • Collating, contributing and reviewing monthly management information
  • Suggesting and helping with the implementation of enhancements and process remediation where required
  • Undertaking monitoring and testing of Senior Manager procedures
  • Working collaboratively with other areas of Compliance both within EMEA and Globally to ensure clarity and understanding of roles and responsibilities and consistency of approach
  • Experience and ability to work with in house built systems, or vendor systems to support the above areas
  • Training staff on SMCR and new joiner topics
  • Support Certification Regime, where required. Running the end to end processes for the Certification regime, liaising with front office staff and staff in other corporate functions, including HR to enable the smooth running of the regime

 

Key objectives critical to success:

  • Ability to balance multiple conflicting demands
  • Ability to develop and maintain strong and mutually supportive working relationships both within Compliance and with other functions
  • Ability to analyse processes, procedures and policies, identifying, proposing and implementing enhancements
  • Ability to escalate effectively and appropriately
  • Ability to adapt quickly to internal and external change
  • Strong analytical, written and communication skills
  • Ability to communicate will all levels of seniority

 

Skills, experience, qualifications and knowledge required:

Essential

  • Proven knowledge of the Senior Manager and Certification Regime;
  • Demonstrable project management skills;
  • Strong inter-personal and organisational skills;
  • Strong time management skills;
  • Experience with using Word, Excel, PowerPoint;         
  • Excellent attention to detail;
  • Willingness to be flexible and adapt quickly to changing demands of the role.

 

Desirable

  • Experience within a Compliance, Operational Risk, Internal Audit or HR environment and with experience of SM&CR gained at an investment bank, other large PRA/FCA authorised firm or regulatory consultancy;
  • Experience of using the Trailight system
  • Good practical knowledge and understanding of the FCA and PRA senior management and certification regimes; and
  • Varied background within compliance or other functions including control testing and / or experience or audit methodologies applied to ensuring data completeness and integrity.

 

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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