Head of Investment Banking and Research Compliance Advisory
Company overview
Nomura is a leading financial services group and the preeminent Asian-based investment bank with worldwide reach. Nomura provides a broad range of innovative solutions tailored to the specific requirements of individual, institutional, corporate and government clients through an international network in over 30 countries. Based in Tokyo and with regional headquarters in Hong Kong, London, and New York, Nomura employs over 27,000 staff worldwide. Nomura’s unique understanding of Asia enables the company to make a difference for clients through three business divisions: retail, asset management, and wholesale (global markets and investment banking).
Department overview:
The Private Side Compliance department is comprised of 11 team members based in London and 7 based in Powai. Its primary responsibility is to manage the compliance and control environment for the private side of Nomura’s businesses in EMEA. The team are responsible for, inter alia, providing advisory services to the Investment Banking and Research business divisions, the Control Room (including Disclosures) and Conflicts Management.
Role description:
Primary responsibility for the provision of Compliance Advisory services to the Investment Banking (‘IB’), Merchant Banking (‘MB’) and Research divisions in EMEA.
Key elements of the role:
- In respect of IB MB, develop close working relationships with the IB MB business teams, providing guidance on policy matters, regulatory issues, reputational matters and best practice in respect of their day-to-day business, client interaction and potential transactions, in order to deliver a strong risk management and control environment
- In respect of Research, develop close working relationships with the Research division and Supervisory Analyst team. Advise on ad hoc queries in respect of Research regulation and Nomura’s Research policies and processes, in order to deliver a strong risk management and control environment
- Be involved in the development and regulation of new products, business initiatives and new transactions including, where appropriate, attending business acceptance committees and transactional committees
- Keep up to date with developments in the regulatory environment in order to provide advice the business on how it impacts them, develop and maintain Nomura’s Private Side Compliance policies and deliver an industry leading advisory service to the business in EMEA
- Take a leading role in the monitoring and continued risk assessment of the private side businesses, including where appropriate addressing and resolving any issues
- Assist in the management of internal or external enquiries and investigations as they relate to IB MB, including the remediation of any breach or alleged breach of regulation, policy or procedure
- Work in a close knit team, supporting other members of the Private Side Compliance team and working closely with the Head of Private Side Compliance
- Provide regulatory updates, training and lead the development of internal policy guidance
- Be involved in the induction and training of new Nomura staff
- Manage a more junior member of the Research Advisory Compliance team
Skills, experience, qualifications and knowledge required
- Enhanced knowledge and understanding of the regulatory environment in which the IB, MB and Research businesses operate, including demonstrating strong knowledge of the FCA Handbook, Listing Rules, UK Sponsor Rules and Disclosure Rules etc.
- Experience in the Investment Banking, Merchant Banking and Research businesses, with developed understanding of the business areas
- Strong interpersonal skills, with the ability to build relationships and communicate with all levels of IB, MB and Research businesses, and where appropriate push back on them
- Ability to identify issues and demonstrate judgement of when matters require escalation
- Ability to work to tight deadlines and demonstrate sound judgement in decision-making
- Ability to manage a junior team member
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.
Please contact us if you are visiting our offices and require any form of personal assistance or physical adaptations to be provided for your appointment. A member of staff will be happy to help.
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