Job Title:  Investment 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.

*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