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Posted 1mo ago

Compliance Officer Wholesale and Regulatory Compliance - VP (Frankfurt, DE, D60313)

@ Nomura
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Frankfurt, Hesse, Germany
OnsiteFull Time
Responsibilities:managing operations, providing advisory services, establishing risk framework
Requirements Summary:Compliance officer with wholesale and regulatory compliance experience; fluent in English; strong communication and regulatory risk management skills.
Technical Tools Mentioned:Microsoft Office (Excel, Power Point)
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Job Description

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. For further information about Nomura, visit www.nomura.com


 


Nomura Financial Products Europe GmbH (NFPE) is the Brexit entity of Nomura, headquartered in Frankfurt/Germany. NFPE offers the full range of Nomura products and services to clients based in Europe.


 

JOB DESCRIPTION


Job title:                     Compliance Officer Wholesale and Regulatory Compliance                          


Corporate Title:          Vice President Wholesale Compliance           


Department:                Nomura Financial Products Europe GmbH     


Location:                     Frankfurt am Main, Germany              


 


Company overview


Nomura is an Asia-based financial services group with an integrated global network spanning over 30 countries. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Retail, Asset 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. For further information about Nomura, visit www.nomura.com


 


Nomura Financial Products Europe GmbH (NFPE) is the Brexit entity of Nomura, headquartered in Frankfurt/Germany. NFPE offers the full range of Nomura products and services to clients based in Europe.


 


Tasks/Responsibilities:



  • 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, in particular:

  • 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:


Essential:



  • Completed studies in law, economics or similar studies, professional education and relevant professional experience

  • Previous experience of relevant professional experience

  • Fluent in English

  • 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

  • Opportunity to drive change and to optimize regulatory processes

  • Microsoft Office (Excel, Power Point)


 


Nomura competencies:


Trusted Partner



  • Understand clients’ needs and issues, and respond with high-quality proposals

  • Acquire capabilities to perform one’s responsibilities and contribute to being a Trusted Partner


Entrepreneurial leadership



  • Produce new ideas that might challenge the status-quo or oneself


Teamwork


Collaboration



  • Seek advice from senior colleagues and utilize it for improved results

  • Collaborate with members from relevant departments


Influence



  • Contribute to the success of the organization both quantitatively and qualitatively, and act with awareness of the impact on others

  • Serve as role model and provide guidance to junior employees


Integrity


Have a good understanding of corporate philosophy, professional ethics, compliance, risk management, and code of conduct, and make decisions and take actions accordingly

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.



 



DISCLAIMER:  This Job Description is for reference only, and whilst this is intended to be an accurate reflection of the current job, it is not necessarily an exhaustive list of all responsibilities, duties, skills, efforts, requirements or working conditions associated with the job.  The management reserves the right to revise the job and may, at his or her discretion, assign or reassign duties and responsibilities to this job at any time. 



 



Nomura is an Equal Opportunity Employer