SFTR Oversight Associate

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.

Department overview: EMEA Regulatory Operations conduct an Oversight model of the BAU process and controls managed by the Regulatory Operations team in Powai. Coverage of regulations include SFTR, EMIR, MiFID & Central Bank reporting.

Role description: We are looking for a SFTR Regulatory Reporting person at Associate level in the Operations division. This will comprise oversight of BAU controls and processes including approvals, breach management, pairing & matching, interaction with regulatory change, horizon scanning through attending industry forums. We consider this a key focus area and opportunity moving forward, as we enhance our operating model for key data aggregation and reporting mechanisms. Provide oversight and progress to the department senior management team and stakeholders, regionally and globally. Supervision of regular meetings and reporting to/with all stakeholders to keep them up to date and ensure expectations are met/managed. Leading continual improvements to both the process and control environment. Thorough understanding of the regulatory reporting environment and ensuring Nomura is compliant for SFTR reporting. Build and maintain ongoing dialogue with key Business and Corporate stakeholders to understand and align on strategy. Proactively manage breach process, taking ownership of issues from inception to conclusion including technology remediation and back reporting.

Skills, experience, qualifications and knowledge required: The individual will support the broader EMEA Regulatory Reporting by performing the following functions:

• Demonstrates an excellent understanding of SFTR Regulatory reporting requirements in the financial market including best practice controls and process.
• Ability to collaborate with teams in different locations.
• Strong stakeholder management with the ability to prioritize and allocate workload to focus on key areas.
• Ability to articulate key messages through all mediums and escalate potential risks in a timely manner.
• Proactive with a ‘can-do’ attitude and the ability to manage requests with a flexible and dynamic approach.
• Experience working in financial services ideally from working in a SFTR Regulatory reporting role.
• Good business knowledge, having worked directly in the Front/ Middle or Back office.
• Strong analytical skills & synthesis ability.
• Strong interpersonal skills and have experiences in operating & connecting in a global lead organization.
• Hands-on experience on digital tools and data analytic tools are strongly preferred.

Nomura competencies:

• Trusted Partner: 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.
• Entrepreneurial leadership: Produce new ideas that might challenge the status-quo or oneself.
• Teamwork Collaboration: 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.

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Nomura is an Equal Opportunity Employer.