Compliance Officer (4 months contract)

Join to apply for the Compliance Officer (4 months contract) role at Nomura

Join to apply for the Compliance Officer (4 months contract) role at Nomura

Job title: Compliance Officer (4 months contract)

Job Type: Temporary (PAYE)

Department: Compliance

Location: London

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.

Department overview:

The legal and compliance Department works with all divisions in the firm to assist in the development and maintenance of a strong compliance culture and to support the embedding of appropriate behaviours within the firm’s Wholesale operating practices.

Nomura Compliance EMEA provides advice and guidance to the Instinet Business on the interpretation and application of regulations applicable to its agency brokerage services, as an operator of a Multilateral Trading Facility (BlockMatch) and for its payment services. Compliance also monitors for the effectiveness of the systems and controls used to manage and mitigate regulatory risks within the business. The Compliance Officer will specifically be responsible for developing and enhancing the firm’s regulatory framework through reactive and proactive engagement with Front Office, Operations, IT etc., undertaking reviews of the firm’s compliance with policies and regulations, assisting with the firm’s market conduct surveillance program, opining on AML/KYC requirements and providing training on regulatory matters to relevant staff. In addition, the Compliance Officer will have specific, delegated responsibility for overseeing day to day AML/Financial Crime on-boarding and KYC refresh requirements.

In addition to a Nomura legal entity reporting line, the role has a functional reporting line to the Instinet Head of European Compliance, based in London.

• Provide sound, timely and valuable input and advice to relevant areas of the firm on all aspects of applicable rules and regulation. This includes, but is not limited to, market conduct rules, anti-money laundering and counter terrorism legal requirements, algorithmic trading regulatory requirements, various trading platform rules, cross-border licensing requirements, relevant European Regulations (e.g. MiFIR/MIFID II), and systems and controls requirements;
• Assist the Instinet Head of Compliance Europe in oversee Compliance risks, as directed;
• Attend relevant governance fora, as directed;
• Overseeing day to day AML/Financial Crime on-boarding and KYC refresh requirements;
• Respond to regulatory requests for information from domestic and overseas Competent Authorities and trading platforms, ensuring that all responses are accurate, timely and completed to the highest standard;
• Assist in the performance of monitoring reviews, which are designed to check and challenge adherence to policies and procedures;
• Assist in the strategic enhancement and delivery of the firm’s monitoring and testing program;
• Review and draft internal procedures, policies and guidance which will also involve the interpretation of regulatory requirements to ensure that they are understood and robustly implemented within the systems and controls environment;
• Provide support to Continental Compliance colleagues and the global Instinet Compliance team;
• Maintain up to date knowledge of relevant regulatory developments and rule changes affecting the firm, taking initiative to communicate and identify new risks;
• Provide advice, check and challenge around Instinet’s compliance with regulatory expectations around , Algorithmic Trading Controls, anti-money laundering and counter terrorism legal requirements.
• Assist in the drafting and delivery of Compliance training across the firm;
• Assist in the delivery of routine Management Information (MI);
• Assist in the promotion of good conduct culture and awareness across the firm; and
• Completion of other ad-hoc projects.

Skills, experience, qualifications and knowledge required:

• Detailed working knowledge of the FCA’s Conduct of Business Rules, MIFIR/MIFID II, the Market Abuse Regulation including regulatory reporting requirements, regulatory requirements applicable to anti-money laundering and counter terrorism;
• Good understanding of Payment Services requirements in Financial Services;
• Detailed knowledge of equity and equity-linked trading venue requirements;
• Sound knowledge of algorithmic trading and strategies with skills to follow up on information provided by automatic trading surveillance alerts; and authority to challenge staff responsible for algorithmic trading where such trading gives rise to disorderly trading conditions or suspicions of market abuse;
• Understanding of the concepts of Electronic Trading Inventory and the key conduct risks applicable for Instinet’s businesses;
• Detailed working understanding of Financial Crime Controls and AML / KYC onboarding requirements;
• Proven analytical skills which may include the analysis of large amounts of order and trade data, whilst maintaining attention to detail;
• Excellent time management and prioritisation skills;
• Strong interpersonal and communication skills with the ability to communicate at all levels;
• Excellent team player with the ability to use own initiative and provide prompt and practical service to stake holders;
• Experience of report writing and the provision of meaningful Management Information; and,
• Proficient in using MS Office products (Word, Excel, PowerPoint).
• Understand clients’ needs and issues, and respond with high-quality proposals
• Acquire capabilities to perform one’s responsibilities and contribute to being a Trusted Partner
• Produce new ideas that might challenge the status-quo or oneself
• Seek advice from senior colleagues and utilize it for improved results
• Collaborate with members from relevant departments

Influence

• Contribute to the success of the organization both quantitatively and qualitatively, and act with awareness of the impact on others
• Serve as role model and provide guidance to junior employees

Integrity

• Have a good understanding of corporate philosophy, professional ethics, compliance, risk management, and code of conduct, and make decisions and take actions accordingly

Diversity Statement:

Nomura is committed to an employment policy of equal opportunities and is fundamentally opposed to any less favourable treatment accorded to existing or potential members of staff on the grounds of race, creed, colour, nationality, disability, marital status, pregnancy, gender or sexual orientation. If you require any assistance or reasonable adjustments due to a disability or long-term health condition, please do not hesitate to contact us.

Right to Work

The UK Government have taken steps to reduce net migration to the UK by limiting the number of overseas workers from outside the EEA coming to the UK for employment. Please note that whilst we are able to consider applications from overseas workers from outside the EEA (who require a Tier 2 (General) visa) we can only employ them if we can provide evidence that there are no other suitable candidates for this vacancy from inside the EEA.

Please contact us if you are visiting our offices and require any form of personal assistance or physical adaptations to be provided for your appointment. A member of staff will be happy to help.

Nomura is an Equal Opportunity Employer

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Contract

Job function

• Job function

  Legal

• Industries

  Banking and Financial Services

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