Job Title:  Operation Control, Regulatory Oversight

Job Code:  844
Country:  US
City:  New York
Skill Category:  Operations

The pay range for this position at commencement of employment is expected to be between $70K and $80K/year*


Company overview

Nomura is a global financial services group with an integrated network spanning over 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Retail, Wholesale (Global Markets and Investment Banking), and Investment Management. 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


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

Role description:

A part of a team of 3, the candidate would be a member of a small team working in a fast paced environment with responsibilities and functions across a Broker Dealer, Swap Dealer and Futures Commission Merchant performing various reporting functions and tasks while interacting with Operations, Compliance, Legal IT and Finance staff locally and globally. This individual would be apply and acquire product knowledge and experience with new products and business activity in the expanding regulatory reporting space. 


Responsibilities will include:

  • Prepare and review regulatory reports from Operations for management and regulators. This includes supporting the Risk Management Plan for Operations, complying and evaluating Operations contributions to the Chief Compliance Officer Annual Attestation to the CFTC, and the Basel III GSIB reporting to the JFSA.
  • Ownership and Control Reporting to the CFTC and futures exchanges for the FCM. 
  • Customer asset possession and control reporting including deficit monitoring, FINRA Form Custody filings, and NSI Schedule I
  • Broker dealer short interest position reporting (Domestic and Foreign), Reg SHO and Regulation 204 and other new regulatory reporting.
  • Support Ad hoc trade inquiries from the Compliance department including Electronic Blue Sheets or EBS and provide support for internal and external audit requests and regulatory exams.
  • Extensive communication and liaising with cross functional teams like Settlements, Middle Offices, Operations Management as well as compliance Legal, Finance, IT and Internal Audit


Skills, experience, qualifications and knowledge required:

  • 1 year Securities Industry Operations with strong communication and analytical skills. 
  • The candidate should have somewhat  regulatory reporting background and be familiar with swaps reporting, Dodd Frank -CFTC, SEC, FRB, FINRA and Exchange rules and regulations, OTC Derivatives and Listed Option knowledge and industry best practices but not limited to.
  • Understanding of Middle office / Settlements and Trade life cycle processes
  • Proficient in Microsoft Office including MS Word, Excel and PowerPoint
  • Extremely good attention to details and willing to learn more and be a team player



Series 99 or equivalent preferred.

*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.


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

Nearest Major Market: Manhattan
Nearest Secondary Market: New York City