Operation Control, Regulatory Oversight Associate Operation Control, Regulatory Oversight Associate …

Nomura
in Manhattan, NY, United States
Permanent, Full time
Be the first to apply
Negotiable
Nomura
in Manhattan, NY, United States
Permanent, Full time
Be the first to apply
Negotiable
Job title: Operation Control, Regulatory Oversight Corporate title: Associate Division: Corporate Location: New York, New York
Job title: Operation Control, Regulatory Oversight Corporate title: Associate Division: Corporate Location: New York, New York

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 www.nomura.com

Role description:

A part of a team of 3, the candidate would be a member of a small team working in a fast paced environment with responsibilities and functions across a Broker Dealer, Swap Dealer and Futures Commission Merchant performing various reporting functions and tasks while interacting with Operations, Compliance, Legal IT and Finance staff locally and globally. This individual would be apply and acquire product knowledge and experience with new products and business activity in the expanding regulatory reporting space.

Responsibilities will include:

  • Prepare and review regulatory reports from Operations for management and regulators. This includes supporting the Risk Management Plan for Operations, complying and evaluating Operations contributions to the Chief Compliance Officer Annual Attestation to the CFTC, and the Basel III GSIB reporting to the JFSA.
  • Exception Management for swaps reporting under Dodd Frank Act.
  • Ownership and Control Reporting to the CFTC and futures exchanges for the FCM.
  • Customer asset possession and control reporting including deficit monitoring, FINRA Form Custody filings.
  • Broker dealer short interest position reporting, Reg SHO and Regulation 204 and other regulatory reporting.
  • Support Ad hoc trade inquiries from the Compliance department including Electronic Blue Sheets or EBS and provide support for internal and external audit requests and regulatory exams.
  • Extensive communication and liaising with cross functional teams like Settlements, Middle Offices, Operations Management as well as compliance Legal, Finance, IT and Internal Audit

Skills, experience, qualifications and knowledge required:

  • 3-6 years Securities Industry Operations with strong communication and analytical skills.
  • The candidate should have a regulatory reporting background and be familiar with swaps reporting, CFTC, SEC, FRB, FINRA and Exchange rules and regulations, and industry best practices.
  • Understanding of Middle office / Settlements and Trade life cycle processes
  • Proficient in Microsoft Office including MS Word, Excel and PowerPoint
  • Extremely good attention to details

Licenses:

Series 99 or equivalent preferred.

Nomura is an Equal Opportunity Employer

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