Compliance Manager recruitment

Nomura Asset Management (NAM) has approximately 120 employees. Within the company, there is an exisiting team of four who work in Compliance. We require an experienced individual to join the team for approximately 6 – 9 months as maternity cover for the Vice President, Compliance. The role will primarily involve assisting the Head of Compliance with UK, European and US regulatory issues and managing various business and control issues arising within the Compliance Dpeartment, including assisting with take-on of new segregated client and fund business as well as client servicing issues.

The Compliance Department covers areas such as FSA and SEC regulation, risk management, internal audit and legal and works closely with the Marketing, Trading and Administration teams in the UK as well as other NAM Group offices in Tokyo, Singapore, Hong Kong and New York. The candidate selected for this role will have excellent experience within the institutional asset management industry.

Role / Principal Accountabilities:

• Assisting the Head of Compliance in tracking regulatory developments (primarily FSA) and incorporating said developments into NAM UK’s business activities and documentation.

• Reviewing and updating existing compliance documentation and policies, for example, Compliance Manual, Money Laundering Guidelines and other standard policy documents.

• Reviewing financial promotion materials, reviewing and drafting new client take-on documentation including management agreements and investment guidelines.

• Liaising with the Marketing and Client Service team on new business and on-going client servicing issues.

• Undertaking various tasks within the Compliance Monitoring Programme.

• Ad hoc compliance and business related tasks.

Skills Experience Required:

• Excellent understanding and practical experience of institutional asset management.

• A good understanding of the UK regulatory framework and FSA regulations.

• Ability to prioritise tasks and deliver to internal and client driven deadlines.

• A methodical, disciplined approach with a willingness to assist with a variety of activities. Attention to detail is a pre-requisite.

• Some knowledge and experience of front office systems such as Thinkfolio and Apollo would an advantage.

• Be approachable in the department and flexible in exposure to a variety of duties.