The NHA Compliance Department assists in the administration of Nomura's compliance programs for the Americas, monitors certain business activities and employee investments, conducts trade surveillance and other reviews, arranges for the registration and continuing education of personnel, advises on the application of laws and regulations, and provides support to management and supervisory personnel in coordinating the supervisory system and promoting a strong compliance culture. The GM Compliance team provides compliance support to the global markets businesses of NHA and interacts with compliance colleagues globally on a variety of issues and works closely with other support functions.
Key objectives critical to success:
Skills, experience, qualifications and knowledge required:
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 is an Equal Opportunity Employer