Job Title:  Compliance Marketing Review - Investment Management

Corporate Title: Vice President

Department: Compliance

Location: New York-Midtown (Hybrid)

The base pay range for this position at commencement of employment is expected to be between $145K and $175K/year*

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.

Aon’s Benefit Index®, Nomura’s benefits rank #1 amongst our competitors

Department Overview

Nomura’s U.S. Investment Management group consists of three SEC-registered advisers – Nomura Capital Management LLC (a private credit manager), Nomura Corporate Research and Asset Management Inc. (a high yield bond manager) and Nomura Asset Management U.S.A. Inc. (an equity manager). The companies manage assets for institutional separate accounts, private funds, registered investment companies and other types of collective investment vehicles.

Nomura’s Investment Management Compliance team administers the compliance program for these three advisers as well as for a registered closed-end fund. The program also covers broker-dealer compliance relating to our 40 Act fund and private fund sales activities, as well as compliance for several affiliated off-shore investment advisers.

Role Description

This position is responsible for day-to-day execution of components of the compliance program with specific focus on activities involving marketing material reviews, compliance training and project management. 

This position utilizes an understanding of the asset management business, infrastructure and compliance requirements to facilitate the implementation of enterprise-wide compliance workflows.

• Review sales and marketing materials for pooled investment vehicles (registered and unregistered) and separately management accounts to ensure compliance with applicable FINRA, SEC and foreign regulations.
• Review, comment and approve materials in a timely manner.
• Coordinate and collaborate with key stakeholders in sales, client service, product development, and investments.
• Train employees on marketing policies, procedures and compliance workflows.

Skills, Experience, Qualifications and Knowledge Required

• Experience with reviewing marketing pitch books and various types of marketing collateral, including social media, email, advertising, video, audio and web pages.
• Experience with cross border marketing and GIPs, a plus
• Sound understanding and application of the SEC and FINRA advertising requirements related to sales literature and advertising.
• Minimum 4 years’ experience in reviewing sales and marketing materials for institutional asset management firms or related compliance experience.
• Excellent communication skills, both verbal and written; able to create and deliver compliance training.
• Proven ability to communicate well with the business and senior management at all levels; strong relationship building skills.
• Highly organized, detailed oriented and multi-tasking; demonstrated track record of managing competing priorities and deadlines.

*base pay offered may vary depending on multiple individualized factors, including market location, corporate and functional title and duties, job-related knowledge and advanced degrees, skills, and experience. The total compensation package for this position may also include other elements, including a sign-on bonus, restricted stock units, and discretionary awards in addition to a full range of medical, financial, and/or other benefits (including 401(k) eligibility and various paid time off benefits, such as vacation, sick time, and parental leave), dependent on the position offered. Details of participation in these benefit plans will be provided if an employee receives an offer of employment.

If hired, employee will be in an “at-will position” and the Company reserves the right to modify base salary (as well as any other discretionary payment or compensation program) at any time, including for reasons related to individual performance, Company or individual department/team performance, and market factors”.

Nomura is an Equal Opportunity Employer