Regulatory Liaison (Vice President) in London

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 four business divisions: Wealth Management, Investment Management, and Wholesale (Global Markets and Investment Banking) and Banking. Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought leadership.

The EMEA Compliance function is part of the Legal & Compliance Department and works with all levels of 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.

Key objectives critical to success:

• Act as lead for a portfolio of Regulatory Liaison coverage and support the Regulatory Liaison team in their role as a central point of contact between the Prudential Regulation Authority (‘PRA’), Financial Conduct Authority (‘FCA’) as well as other regulators and the firm.
• Attend relevant regulatory meetings with PRA and FCA across a wide range of conduct and prudential issues and take detailed notes.
• Ensure that, where relevant, action points in relation to regulatory requests are promptly and appropriately addressed – these include information requests and other issues the regulators may raise.
• Assist in the coordination of regulatory examinations or investigations as required.
• Help others within the firm to build strong relationships with regulators and understand the requirements of FCA, PRA (and other regulators) and their way of working.
• Engage with Compliance staff within Nomura’s EMEA network to help facilitate a coordinated approach to Regulatory Affairs across the EMEA region.
• Understand and keep up to date with the firm’s business, products and the regulatory and commercial environment in which it operates to contribute to the implementation of appropriate compliance policies, procedures and standards.
• Provide information to assist senior management and other relevant individuals within the firm in keeping up to date with key regulatory developments.
• Escalate to the Head of Regulatory Affairs any significant issues relating to compliance with applicable regulatory requirements, other regulatory relationship issues, or the wider regulatory environment.
• Assist in the production of compliance management information and metrics to keep senior management and other relevant individuals within the firm informed of key issues relating to the firm’s regulatory relationships.
• Assist in the coordination and communication with Tokyo Compliance and Tokyo Regulatory Affairs in relation to all material regulatory issues arising in the EMEA region.
• Maintain appropriate systems and controls to ensure the firm meets its regulatory and statutory responsibilities.
• Proactively promote the importance of compliance and strong regulatory relationships across the firm.

Skills, experience, qualifications and knowledge required:

• Degree or equivalent professional qualification.
• Experience in the financial services industry with excellent understanding of current and emerging regulatory issues for wholesale investment firms.
• Experience in a Regulatory Liaison role, managing regulatory relationships, engaging with dedicated supervision teams on a regular basis.
• Significant experience in coordinating extensive cross-functional regulatory communications, responses and reviews.
• Demonstrated ability to work across different areas of responsibility and expertise.
• Excellent written and verbal communication and relationship management skills.
• Strong track record as a trusted partner, providing advice, challenge, and briefings on regulatory engagement to senior stakeholders.
• Proven ability to analyse a broad range of cross-functional matters to identify, assess, and summarise complex issues.
• Strong resilience and ability to work under pressure.
• Risk aware with an ability to assess information and topics to prioritise accordingly.
• High level of proficiency on key MS Office packages (Word, PowerPoint, Excel).

Inclusion:

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

Diversity & Inclusion:

Nomura is an equal opportunity employer. We value diversity and are committed to ensuring we best reflect the diversity of the communities we serve creating an inclusive environment for all our employees.