Compliance Officer Wholesale and Regulatory Compliance - Vice President

Department Overview

Nomura's Compliance department is at the forefront of maintaining regulatory adherence and ethical standards. Our team works diligently to ensure that our business operations align with industry regulations and internal policies. Join us to contribute to a culture of integrity and help safeguard our clients' trust.

Key objectives critical to success:

• Managing the day-to-day operations of the compliance program, conducting periodic compliance reviews and providing reports;
• Providing compliance advisory services to NFPE front office and infrastructure departments and the management board;
• Establishing and enhancing the risk analysis, and control framework for the compliance function;
• Proactive support of business units by identifying, reporting and managing of regulatory and marketing risks in order to protect NFPE, its reputation and investors;
• Liaising and coordination of compliance specific topics with branches and EMEA stakeholders;
• Executing compliance monitoring and testing activities, identifying and reporting on issues and exposures;
• Driving closure of compliance monitoring report recommendations to resolution;
• Undertaking various reporting activities including compliance audits and risk assessments;
• Preparing regulatory registrations, reporting and returns to the German regulatory authority within set time frames;
• Assisting in the maintenance of compliance policies and registers;
• Delivering compliance training to staff;
• Liaise with Registration and Trade Surveillance Departments of Exchanges, coordinate the completion of Due Diligence Questionnaires and other regulatory required documents;
• Implementation of the requirements according to Sec. AT4.4.2 MaRisk;
• Independently developing solutions/scenarios for the compliant and at the same time practical implementation of regulatory requirements for the firm and considers cross-connections to other regulatory requirements and framework conditions;
• Liaising with other division of NFPE to make sure that regulatory developments in Germany are being fully implemented;
• Independently gap analysis of regulatory requirements in the Compliance division in cooperation with other divisions of the firm;
• Contribute to the protection of Nomura, its reputation, regulatory risk and investors through participation in the identification, reporting and management of regulatory and marketing risks and through provision of proactive support to specific business areas;
• Preparing regulatory registrations, reporting and returns to the German regulatory authority within set time frames.

Skills, Experience, Qualifications and Knowledge Required:

• Completed studies in law, economics or similar studies, professional education and relevant professional experience;
• Strong relevant professional experience;
• Fluency in English and German is mandatory;
• Good written and verbal communication skills;
• Profound knowledge in Global Market and Investment Banking products and processes and related local and EU regulatory requirements;
• Self-starter, solution oriented, good organizational skills;
• Ability to work proactively both individually and in a team, taking the responsibility to achieve results in a set timeframe;
• Strong analytical skills;
• Ability to work and successfully deliver against different timelines;
• Experience of driving regulatory process improvements and change and optimising regulatory processes;
• Microsoft Office (Excel, Power Point).

Nomura Leadership Behaviours:

• Explore Insights & Vision: Identify the underlying causes of problems faced by you or your team and define a clear vision and direction for the future;
• Making Strategic Decisions: Evaluate all the options for resolving the problems and effectively prioritize actions or recommendations;
• Inspire Entrepreneurship in People: Inspire team members through effective communication of ideas and motivate them to actively enhance productivity;
• Elevate Organizational Capability: Engage proactively in professional development and enhance team productivity through the promotion of knowledge sharing;
• Inclusion: Respect DEI, foster a culture of psychological safety in the workplace and cultivate a 'Risk Culture' (Challenge, Escalate and Respect).

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. Nomura is an Equal Opportunity Employer.