Compliance Officer Wholesale and Regulatory Compliance - Vice President (m|f|x) Frankfurt am Main

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.

Aufgaben

• 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

Profil / Ihre Qualifikation / Ihre Persönlichkeit:

• ompleted studies in law, economics or similar studies, professional education and relevant professional experience
• Previous relevant professional experience
• Fluent in English and German
• 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
• Experience driving regulatory process improvements and 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

Kontakt

Eva Fischer

Head of HR Germany

Standort

Rathenauplatz 1, DE-60313 Frankfurt am Main