Compliance Regulatory Liaison, Associate

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    10 months ago

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Job title: Compliance Regulatory Liaison

Corporate Tittle: Associate

Department: Legal, Compliance & Controls (LCC) - NEHS Compliance, Regulatory Affairs Team

Reports to: Executive Director, Regulatory Liaison,

Location: London


Company overview

Nomura is an Asia-quartered 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



Key responsibilities include:

  • Assist the Head of Regulatory Liaison in their role as a central point of contact between the Prudential Regulation Authority ('PRA'), Financial Conduct Authority ('FCA') as well as other regulators and the firm.
  • Help others within the firm to build strong relationships with regulators and understand the requirements of FCA, PRA (and other regulators) and their way of working. This requires the building of strong working relationships across a number of support and control functions within the firm including with members of the senior management team.
  • Engage with Compliance staff within Nomura's EMEA network to help facilitate a coordinated approach to Regulatory Affairs across the EMEA region.
  • Ensure that, where relevant, action points in relation to regulatory requests are promptly and appropriately addressed - these include information requests and other issues the regulators may raise.
  • Assist in the coordination of regulatory examinations or investigations as required.
  • Attend relevant regulatory meetings with PRA and FCA across a wide range of conduct and prudential issues and take detailed notes.
  • Understand and keep up to date with the firm's business, products and the regulatory and commercial environment in which it operates to contribute to the implementation of appropriate compliance policies, procedures and standards
  • Provide information to assist senior management and other relevant individuals within the firm in keeping up to date with key regulatory developments.
  • Escalate to the Head of Regulatory Liaison any significant issues relating to compliance with applicable regulatory requirements, other regulatory relationship issues, or the wider regulatory environment.
  • Assist in the production of compliance management information and metrics to keep senior management and other relevant individuals within the firm informed of key issues relating to the firm's regulatory relationships and help the firm to be consistent in its approach to regulators.
  • Assist in the coordination and communication with Tokyo Compliance and Tokyo Regulatory Affairs in relation to all material regulatory issues arising in the EMEA region such that the firm's relationships with its Japanese regulators can be appropriately managed.
  • Maintain appropriate systems and controls to ensure the firm meets its regulatory and statutory responsibilities with regard to the adequacy of, access to, periods of retention and security of records.
  • Continue to develop and streamline Nomura's information management systems and processes including continuing the build out of the Internal Regulatory Management Dashboard System (subject to IT resource).
  • Proactively promote the importance of compliance and strong regulatory relationships across the firm.

Skills, experience, qualifications and knowledge required

  • Degree or equivalent professional qualification
  • Minimum 3 years relevant experience in the financial services industry with excellent understanding of current and emerging regulatory issues for wholesale investment firms
  • Excellent communication and relationship management skills, including the ability to engage and manage front office and corporate colleagues across the firm and across all levels of seniority
  • Strong resilience and ability to work under pressure
  • Risk aware with an ability to prioritise information and topics accordingly
  • Ability to influence and manage the departmental and firm response to regulatory requests
  • High level of proficiency on key MS Office packages (Word, Powerpoint, Excel)

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 from inside the EEA.Please contact us if you are visiting our offices and require any form of personal assistance or physical adaptation to be provided for your appointment. A member of staff will be happy to help.