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- Tasks: As a Compliance Officer, you'll ensure regulatory adherence and enhance compliance frameworks.
- Company: Nomura is a global financial services group connecting markets across 30 countries since 1925.
- Benefits: Enjoy a temporary contract with competitive pay and the chance to work in a dynamic environment.
- Why this job: Join a culture of disciplined entrepreneurship and make a real impact in financial compliance.
- Qualifications: You need knowledge of FCA rules, AML/KYC requirements, and strong analytical skills.
- Other info: This role offers a unique opportunity to work with a leading firm in the financial sector.
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.
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.
Key Responsibilities:
- Provide sound, timely and valuable input and advice to relevant areas of the firm on all aspects of applicable rules and regulation.
- Assist the Instinet Head of Compliance Europe in overseeing Compliance risks, as directed.
- Attend relevant governance fora, as directed.
- 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.
- 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.
- Maintain up to date knowledge of relevant regulatory developments and rule changes affecting the firm, taking initiative to communicate and identify new risks.
- 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.
- 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.
- Understanding of the concepts of Electronic Trading Inventory and the key conduct risks applicable for Instinet’s businesses.
- 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 stakeholders.
- Experience of report writing and the provision of meaningful Management Information.
- Proficient in using MS Office products (Word, Excel, PowerPoint).
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.
Compliance Officer (4 months contract) employer: Nomura
Contact Detail:
Nomura Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer (4 months contract)
✨Tip Number 1
Familiarise yourself with the specific regulations mentioned in the job description, such as MIFID II and AML/KYC requirements. This will not only help you understand the role better but also allow you to engage in informed discussions during interviews.
✨Tip Number 2
Network with professionals in the compliance field, especially those who work in financial services. Attend industry events or join relevant online forums to gain insights and potentially get referrals that could boost your application.
✨Tip Number 3
Prepare to discuss real-world scenarios where you've applied compliance knowledge or dealt with regulatory challenges. Having concrete examples ready can demonstrate your practical understanding of the role and your problem-solving skills.
✨Tip Number 4
Stay updated on recent developments in financial regulations and compliance practices. Being able to speak about current trends or changes in the regulatory landscape can set you apart from other candidates during the interview process.
We think you need these skills to ace Compliance Officer (4 months contract)
Some tips for your application 🫡
Understand the Role: Before applying, make sure you thoroughly understand the responsibilities of a Compliance Officer at Nomura. Familiarise yourself with key regulations such as FCA’s Conduct of Business Rules and AML/KYC requirements, as these will be crucial in your application.
Tailor Your CV: Customise your CV to highlight relevant experience and skills that align with the job description. Emphasise your knowledge of compliance regulations, analytical skills, and any previous roles that involved regulatory oversight or financial crime prevention.
Craft a Strong Cover Letter: Write a compelling cover letter that showcases your passion for compliance and your understanding of the financial services industry. Mention specific experiences that demonstrate your ability to handle compliance challenges and your proactive approach to risk management.
Proofread Your Application: Before submitting, carefully proofread your application materials. Ensure there are no spelling or grammatical errors, as attention to detail is critical in compliance roles. A polished application reflects your professionalism and commitment.
How to prepare for a job interview at Nomura
✨Know Your Regulations
Familiarise yourself with the FCA’s Conduct of Business Rules, MIFIR/MIFID II, and the Market Abuse Regulation. Being able to discuss these regulations confidently will show that you understand the compliance landscape and can navigate it effectively.
✨Demonstrate Analytical Skills
Prepare to showcase your analytical skills, especially in relation to analysing large amounts of order and trade data. Be ready to provide examples of how you've maintained attention to detail in past roles, as this is crucial for a Compliance Officer.
✨Highlight Team Collaboration
Emphasise your experience working collaboratively across departments. Nomura values teamwork, so be prepared to discuss how you've successfully partnered with others to achieve compliance goals or resolve issues.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your problem-solving abilities in compliance situations. Think about past experiences where you had to respond to regulatory requests or manage compliance risks, and be ready to articulate your thought process.
