GM Compliance Officer (VP) GM Compliance Officer (VP) …

in Manhattan, NY, United States
Permanent, Full time
Last application, 15 Jul 19
in Manhattan, NY, United States
Permanent, Full time
Last application, 15 Jul 19
VP level role supporting the GM business of Nomura. This role is multifaceted and requires strong Prime Brokerage experience

Department overview:

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:

  • Strong verbal and written communication skills;
  • Ability to provide clear, concise, and timely responses to front office personnel;
  • Strong organizational skills;
    • Strong team player;
    • Ability to provide compliance training and clearly articulate applicable regulations and internal policies and procedures.

Skills, experience, qualifications and knowledge required:

  • Minimum of 8 to 10 years equity compliance experience;
  • Working knowledge of prime brokerage a plus;
  • BA/BS in Finance or related field (MBA or MA/MS a plus);
  • Strong knowledge of rules and regulations that apply to equity cash and derivative products including swaps and futures;
  • Ability to work with technology and front office personnel on regulatory change management projects;
  • Knowledge of derivative products surveillance;
  • Ability to provide product expertise to regulatory inquiries and exam team.


  • Prior experience in equity compliance cash and derivatives
  • Strong interpersonal and communication skills;
  • Minimum BA/BS in Finance or related field.


  • Working knowledge of prime brokerage.

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

Nomura is an Equal Opportunity Employer