Retail banking


Compliance officer, individual accountability regime, associate

07 January England - Greater London, London Perm


Job title: Compliance Officer, Individual Accountability Regime Associate
Corporate Title: Associate
Department: Compliance
Location: London

Company overview

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

Department overview:

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

The Individual Accountability Regime Function team is responsible for managing the Senior Manager Regime requirements across Nomura's UK entities as well as other regulatory requirements in respect of Diligent Supervision under the CFTC and SEC SwapDealer business of Nomura. The Individual Accountability Regime Function is part of a broader team that also manages Compliance Registrations, the UK Certification Regime and Compliance Training.

The work of the Function includes:

* Supporting the process of registering Senior Managers and other relevant staff with the PRA / FCA
* Reviewing the documentation maintained by the Senior Managers and providing feedback on how to enhance said documentation in respect of the Senior Manager Regime and the Diligent Supervision requirements of the CFTC and the SEC
* Managing the process to keep the Management Responsibility Map up to date on an ongoing basis
* Providing advice to Senior Managers and the teams supporting them on good practice in relation to the Senior Manager Regime
* Collating and reviewing monthly management information
* Suggesting and helping with the implementation of enhancements and process remediation
* Supporting Handovers between Senior Managers when they occur
* Supporting the ongoing responsibility for managing Diligent Supervision in the Corporate Functions
* Drafting and implementation of policies and procedures across the areas of coverage
* Experience and ability to work with in house built systems, or vendor systems to support the above areas.

Key objectives critical to success:

* Ability to work with and engage with very senior stakeholders
* Ability to balance multiple conflicting demands
* Ability to develop and maintain strong and mutually supportive working relationship with a range of stakeholders
* 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

Skills, experience, qualifications and knowledge required:


* Proven knowledge of the Senior Manager and Certification Regime;
* Knowledge of US requirements in relation to CFTC and/or SEC Swap Dealer would be beneficial;
* 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.


* Experience within a Compliance, Operational Risk, Internal Audit or HR environment and with experience of SM&CR and US Compliance Registrations gained at an investment bank, other large PRA/FCA authorised firm or regulatory consultancy;
* Varied background within compliance or other functions including control testing and / or experience or audit methodologies applied to ensuring data completeness and integrity.

Right to Work

The UK Government have taken steps to reduce net migration to the UK by limiting the number of overseas workers coming to the UK for employment. Please note that whilst we are able to consider applications from overseas workers from outside the UK (who require a Tier 2 Skilled Worker visa) we can only employ them if we can provide evidence that this is a genuine vacancy for a qualified role

Diversity & Inclusion

Nomura is an equal opportunity employer. We value diversity and are committed to creating an inclusive environment for all our employees.

We do not discriminate on the basis of age, disability, gender identity and gender expression, pregnancy and maternity, marriage and civil partnership, race, religion or belief, sex or sexual orientation.

If you require any assistance or reasonable adjustments due to a disability or long-term health condition, please do not hesitate to contact us.