Corporate Compliance SEC Reporting (6 month contract)

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    about 2 months ago

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    6 Months

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Job title: Corporate Compliance Officer (Securities and Exchange Commission (SEC), Security Based Swap Dealer (SBSD) Regulatory Reporting Project) (6 month contract)
Corporate Title: Contract (6 months)
Department: Legal, Compliance & Controls (LCC)
Location: London

Corporate Compliance SEC Reporting (6 month contract)

Company Overview

Nomura is an Asian headquartered 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

Department Overview

The NEHS Compliance function is part of the Legal, Compliance & Controls Department and works with all levels of the firm to assist in the development and maintenance of a strong compliance culture and to support the embedding of appropriate behaviours within the firm's Wholesale operating practices. NEHS is the holding company for Nomura's Wholesale businesses in the EMEA (Europe, Middle East & Africa) region.

The Team - Corporate Compliance

Currently a team of two providing Compliance support to the Corporate Functions, in particular the Operations function where the primary focus is in the areas of Transaction Reporting, Client Assets and Outsourcing but also covering a number of other key areas of regulatory focus.

Role description

Working with the team members and other colleagues within Compliance to ensure efficient, effective and consistent Compliance support and challenge is provided to the Corporate Functions
Working with other functions both within Compliance and more broadly to ensure positive and effective engagement in the management of Nomura's Compliance risk
Supporting the development of the Compliance oversight model for the Corporate Compliance Team including further development of the roles and responsibilities of the team within a three lines of defence model.

Project Specific

Nomura's main EMEA booking entity is seeking to register with the U.S. SEC as a Securities Based Swap Dealer in October 2021 and a programme of work has been established that Compliance will need to contribute into.
The role will also include assisting with fundamental changes to the Dodd Frank Reporting Requirements for the CFTC.

The main topics covered include:

Transaction Reporting
Portfolio Compression
Portfolio Reconciliation

The role will consist of supporting the projects from a Compliance perspective in a number of ways:

  • Ensuring the effective implementation of Regulatory Change in partnership with stakeholders
  • Ability to work collaboratively with a range of stakeholders ensuring positive and effective engagement
  • Interpreting the regulation including scope and field analysis
  • Providing regulatory guidance and advice to the project
  • Attending Governance meetings, reviewing and challenging interpretation and business requirements
  • Implement a monitoring and testing routine

Skills, experience, qualifications and knowledge required:

  • Knowledge on Securities Reporting for the U.S. Securities Exchange Commission or Dodd Frank Reporting (CFTC Part 43 Real Time Reporting and Part 45 Swap Data Record keeping and Reporting Requirements) is ideally required.
  • At least 4 year's experience covering Dodd Frank (CFTC) Reporting, MIFID Transaction Reporting or EMIR Reporting requirements within a Compliance function
  • Excellent understanding of the regulatory obligations in Corporate Functions with particular focus on MIFID Transaction Reporting, EMIR Reporting, Portfolio Compression, Clearing and Collateral
  • Any further knowledge regarding Client Assets and the EBA Guidelines on Outsourcing is of interest.
  • Degree or equivalent professional qualification
  • 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
  • Analytical approach with ability to provide constructive challenge
  • Strong resilience and ability to work under pressure
  • Risk aware with an ability to prioritise information and topics accordingly
  • Proven experience in assessing and managing risk
  • High level of proficiency on key MS Office packages (Word, PowerPoint, Excel)