Compliance Registrations, SEC Registrations Project Lead

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    Contract / Interim

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  • Published:

    about 1 month ago

  • Duration:

    9 months

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Job title: Compliance Registrations - SEC Individual Registrations Project Lead

(9 month contract)

Department: EMEA Compliance


Department overview:

Nomura's EMEA Compliance department works to offer advice, guidance and oversight to the business on all matters related to regulatory compliance in the region. The Compliance team works very closely with all departments across the firm and with other Compliance teams in Nomura globally to offer consistent compliance advice and solutions in a rapidly changing and evolving regulatory environment.

The Registration & Certification team is responsible for managing the Compliance elements of the Senior Manager & Certification Regime as well as other regulatory registrations such as for the CFTC SwapDealer business of Nomura:

The team also includes members who are based offshore in India

Role Description

The Project Lead work within the Individual Accountability Regime, Registrations and Training team. This is project role with the potential to transition to full time at the end of the project depending on business as usual business requirements identified as part of the project and the performance of the individual.

The focus will be on the work required to prepare Nomura's UK entity for the SEC's Security Based Swap Dealer *SBSD) Regime by leading the work on registering individuals at Nomura as Security Based Swap Dealer Associated Persons. This will include working with the Head of the team and other colleagues across Nomura to:

  • Develop and agree scope of Associated Persons (APs)
  • Liaise and communicate with the business and impacted business functions on identifying APs, in the UK and other jurisdictions
  • Determine what background screening and statutory disqualification questionnaires are needed (this may differ by jurisdiction)
  • Determine how all background screening and questionnaires will be collected and collated
  • Put in place a process to review all of the APs and get sign-off by the Chief Compliance Officer or their delegate
  • Write Business Requirement Documents for any system changes required to support this activity
  • Develop associated processes for identifying changes in the SBSD APs population and ensuring that they have background screening and statutory disqualification questionnaires prior to undertaking SBSD activity
  • Develop an approach for identifying in scope trades by individuals who are not SBSD APs and putting in place a control for blocking these trades
  • Work with the US entity to align the approach to the extent possible
  • Draft / Update policy documents and procedures on the approach


Key objectives critical to success:

  • Ability to balance multiple conflicting demands
  • Ability to work independently and escalate key decisions, discussion points, risks and issues
  • Ability to develop and maintain strong and mutually supportive working relationships both within Compliance and with other functions
  • Ability to analyse processes, procedures and policies, identifying, proposing and implementing enhancements
  • Ability to adapt quickly to internal and external change
  • Strong analytical, written and communication skills
  • Ability to operate within our regulatory and internal risk frameworks


Skills, experience, qualifications and knowledge required:


  • Knowledge of Compliance Registrations, ideally including US Registrations including CFTC Associated Person requirements.
  • Ability to represent the wider Compliance function credibly in discussions with other departments, especially the front office and Human Resources function;
  • Demonstrable project management skills
  • Strong inter-personal and organisational skills;
  • Strong time management skills;
  • Experience with using Word, Excel, PowerPoint;
  • Excellent attention to detail;
  • Willingness to be flexible and adapt quickly to changing demands of the role.



  • Knowledge of SEC requirements, including the upcoming Security Based Swap Dealer requirements.
  • Experience within a Compliance environment and with experience of employee compliance matters gained at an investment bank, other large PRA/FCA authorised firm or regulatory consultancy;
  • Good practical knowledge and understanding of the FCA and PRA senior management and certification regimes
  • Good practical knowledge of processes supporting compliance controls around outside business activities, personal account dealing and gifts and entertainment
  • Varied background within compliance or other functions including control testing and / or experience or audit methodologies applied to ensuring data completeness and integrity.