The role will work across two core responsibility areas - Public Affairs and Regulatory Liaison with key activities outlined below.
Public Affairs - key activities include:
- Act as Public Affairs Lead in managing engagement with industry bodies, government departments and external public affairs agencies.
- Provide information and coordinate briefings to assist senior management and other relevant individuals within the firm in keeping up to date with key developments and engage effectively with industry bodies.
- Engage with staff across Nomura's EMEA network as required to help facilitate a coordinated approach to industry / government engagement.
- Help others within the firm to build strong relationships as required with industry / government bodies. 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.
- Attend relevant meetings with industry / government bodies across a wide range of 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 development of its public affairs agenda.
- Nomura, including periodic review of utilisation and effectiveness / value.
- Maintaining list of key meetings with UK government / public bodies, including liaising with external agencies / service providers to develop and manage required engagement.
- Produce management information and metrics to keep senior management and other relevant individuals within the firm informed of key issues relating to the firm's public relationships and help the firm to be consistent in its approach.
- Assist in the coordination and communication with Tokyo HQ in relation to any material public affairs issues arising in the EMEA region.
Regulatory Liaison - key activities include:
- Act as lead for a portfolio of Regulatory Liaison coverage (including Front Office, RFR, Brexit and ex-UK EMEA).
- 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.
- Attend relevant regulatory meetings with PRA and FCA across a wide range of conduct and prudential issues and take detailed notes.
- 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.
- 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.
- 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
- 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 regulatory liaison records.
- 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 5 years relevant experience in the financial services industry with excellent understanding of current and emerging regulatory issues for wholesale investment firms
- Experience within Public Affairs and Regulatory Liaison with a demonstrated ability to work across different areas of responsibility
- Excellent written and verbal 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 approach to engagement with industry / government bodies
- High level of proficiency on key MS Office packages (Word, Powerpoint, Excel)