Job Title:  Regulatory Operations Vice President

Corporate Title: Vice President  

Department: Operations

Location: New York

The base pay range for this position at commencement of employment is expected to be between $160K and $180K/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 www.nomura.com.

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

Department overview:

Operations Regulatory Department

Role description:

We are seeking an experienced Vice President to lead our North American Transaction Reporting team. This key leadership position will oversee regulatory reporting operations across CFTC Part 43 and Part 45, Canadian Securities Administration, and Securities-based Swap Dealer reporting functions.

Leading a team of 5-6 professionals, the successful candidate will manage comprehensive regulatory reporting operations while interfacing with global stakeholders across Operations, Compliance, Legal, and IT departments. This role offers exposure to global markets products and expanding regulatory reporting requirements.

Responsibilities:

• Drive regulatory compliance initiatives ensuring adherence to CFTC, CSA, and SEC Securities-based Swap Dealer regulations
• Lead and supervise stakeholder meetings to maintain effective communication and manage expectations
• Provide strategic leadership and mentorship to develop and strengthen the regional Reporting team
• Spearhead process improvements and enhance control environment
• Represent Regulatory Operations in internal and external trade reporting forums
• Develop and maintain Management Information System (MIS) reporting for senior leadership
• Manage relationships with regulatory bodies and industry working groups

Skills, experience, qualifications and knowledge required:

• 7-10 years of Financial Securities Industry Operations experience with demonstrated risk management expertise
• Comprehensive knowledge of CFTC, CSA, and SEC Securities-based Swap Dealer reporting requirements
• Deep understanding of financial markets, regulatory controls, and best practices
• Proven track record of managing complex regulatory initiatives and change programs
• Bachelor's degree in Finance, Business, or related field
• Outstanding leadership abilities with experience managing cross-functional teams
• Excellent communication skills with ability to articulate complex regulatory matters to various stakeholders
• Strong analytical and problem-solving capabilities
• Proven ability to manage multiple priorities in a fast-paced environment
• Experience in risk identification, escalation, and resolution
• Demonstrated ability to build and maintain relationships across global teams

*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