Job Title:  Investment Advisory Compliance

The pay range for this position at commencement of employment is expected to be between $85k-125k 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

Corporate Title: Analyst

Department: Surveillance (Compliance)

Division Overview: NAM International

The international business brings together a legacy of investing in public and private markets on a global scale. Through active management, we deliver differentiated and innovative solutions across equities, fixed income, multi-asset, and private credit supported by a team of disciplined and tenured investment professionals. Building upon Nomura’s century long heritage, our teams are responsible stewards of clients’ capital. We approach everything we do with accountability, curiosity, and integrity to help clients across wealth and institutional channels navigate an ever-changing market, capture opportunities around the world, and reach long-term investment goals.

Role Description:

• Primary responsibilities will include monitoring investment guidelines and regulations as well as providing advisory compliance support to the Investment Teams
• Support compliance projects and initiatives to help automate monitoring controls and enhance efficiency in the team’s workflows and deliverables. 
• Learn about investment strategies and products and how the team plays a role in monitoring these from a compliance perspective.

Skills, experience, qualifications and knowledge required:

• Minimum of 2 years of compliance experience with a financial firm preferred.
• Experience with a compliance guideline monitoring system a plus (e.g., Aladdin, Charles River, Bloomberg AIM).
• Desire to learn about investment compliance regulations, including the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, and the Investment Advisers Act of 1940.
• Comfortable interacting with Portfolio Managers, Traders, and Research Teams.
• Global mindset; Experience working in a global environment preferred.
• Ability to work in unstructured situations, set priorities, and shift quickly to new tasks when priorities change.

Nomura Competencies

Explore Insights & Vision

• Identify the underlying causes of problems faced by you or your team and define a clear vision and direction for the future.

Making Strategic Decisions

• Evaluate all the options for resolving the problems and effectively prioritize actions or recommendations.

Inspire Entrepreneurship in People

• Inspire team members through effective communication of ideas and motivate them to actively enhance productivity.

Elevate Organizational Capability

• Engage proactively in professional development and enhance team productivity through the promotion of knowledge sharing.

Inclusion

• Foster a culture of inclusion and psychological safety in the workplace and cultivate a "Risk Culture" (Challenge, Escalate and Respect).

*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, discretionary awards and eligibility for commissions for applicable sales roles 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 in the U.S., 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