Front Office Supervison, Conduct and Control Front Office Supervison, Conduct and Control …

in London, England, United Kingdom
Permanent, Full time
Be the first to apply
in London, England, United Kingdom
Permanent, Full time
Be the first to apply
The EMEA GM Regulatory Control team was established in 2018. This role is responsible for the build out of the Regulatory Control Framework in EMEA and its ongoing maintenance.

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

The Front Office Supervision team is a global team responsible for creating and maintaining the Front Office Supervision and the EMEA GM Regulatory Control Framework for Global Markets and being the key operational risk and control function for the Global Markets business. The Front Office Supervision team operates in 3 Regions: EMEA, Asia ex Japan and Japan.

Role responsibilities include:

  • Support the development of the regulatory control framework by wworking closely with GM and other Corporate functions including Compliance, Legal and Operations
  • Project management defining, tracking and managing delivery of milestones within defined timelines, or timely escalation if delivery dates at risk
  • Reviewing regulatory requirements and designing and implementing controls, seeking appropriate SME input and management approval and signoff
  • Reviewing and understanding relevant MI, working with Business individuals to understand exceptions, escalating to GM Management and/or Compliance when necessary
  • Working closely with FOSCC supervision team to identify opportunities to embed regulatory controls into their framework; provide input into supervision policies, guidelines, and handbook
  • Create presentations for FOSCC to deliver to various GM committees and other senior management meetings
  • Facilitate meetings, including taking of minutes, recording any actions resulting from the meeting and tracking progress
  • Creation and maintenance of Global Markets policies and/or procedures

Skills & Experience Required:

  • Understanding of regulatory environment, in the UK and globally
  • Senior Stakeholder management
  • Excellent verbal and written communication skills
  • Sound administration, organisational and prioritisation skills
  • Ability to multi-task effectively and to work on own initiative with minimum supervision
  • Ability to work under pressure to tight timelines
  • Ability to use own judgment and be proactive
  • Ability to think independently and challenge and escalate where necessary
  • Effective team player with well-developed interpersonal skills
  • Enthusiastic, with the ability to be assertive
  • Good awareness of confidentiality
  • Organized and detail oriented
  • Flexibility to be productive and comfortable in a number of different situations and environments

Right to Work

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 for this vacancy from inside the EEA.

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

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