Job Title:  Compliance & Control Associate

Corporate Title: Associate

Department: Nomura Securities (Bermuda) Ltd.

Location: Bermuda

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

Role Description

This role will focus on the second line testing of compliance and controls needs of the Bermuda office including the following:

• • Assist in ensuring that Nomura Securities (Bermuda) Ltd. (“Company”) complies with its local obligations with respect to the establishment and maintenance of a compliance program and controls as specified in Bermuda Acts and Codes;

  • Monitor the Company’s compliance with reporting obligations to the Bermuda Monetary Authority, including that returns submitted are complete and filed within the relevant time;

  • Assist in the review and drafting of local Bermuda operational and compliance policies and procedures as required;

  • Assist in the review and evaluation of Company procedures and reports to identify additional risks or issues;

  • Perform periodic reviews to assess the efficiency of key Company controls;

  • Investigate irregularities and non-compliance issues and recommend effective improvements;

  • Design and monitor control systems to deal with violations of legal rules and internal policies;

  • Participate in and support the conduct of internal and external enquiries and investigations as necessary;

  • Oversight and participation in the governance of the Company to ensure compliance, reporting and where relevant escalation;

  • Participate in the production of monthly management information;

  • Identify local compliance risks associated with the Company’s business including the compliance risks associated with changes in, or the development of new, products, types of business or customer relationships;

  • Provide reports and updates on compliance, regulatory and governance matters the Company’s Board of Directors and facilitate the annual assessment process;

  • Review any new Bermuda compliance regulations and arrange for legal opinions/ review as necessary, implement any required changes or updates to company processes and policies as applicable; and

  • Keep up to date with, and understand, relevant laws and regulations.

Skills, Experience, Qualifications, and Knowledge Required

• • A university degree and/or professional accreditation in finance, business, law, governance etc.

  • Legal and/or Compliance experience preferably within an investment banking or capital markets environment or at an exchange or regulator.

Nomura is an Equal Opportunity Employer