Compliance - Portfolio Management & Trading Vice President

Corporate Title: Vice President

Department: Compliance

Location: New York-Midtown (Hybrid)

 

The base pay range for this position at commencement of employment is expected to be between $150K and $175K/year*

 

Company Overview 

 

Nomura is a global financial services group with an integrated network spanning approximately 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Wealth Management, Investment 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.

 

Aon’s Benefit Index®, Nomura’s benefits rank #1 amongst our competitors

 

 

Department Overview:

Nomura’s U.S. Investment Management group consists of three SEC-registered advisers – Nomura Capital Management LLC (a private credit manager), Nomura Corporate Research and Asset Management Inc. (a high yield bond manager) and Nomura Asset Management U.S.A. Inc. (an equity manager). The companies manage assets for institutional separate accounts, private funds, registered investment companies and other types of collective investment vehicles.

Nomura’s Investment Management Compliance team administers the compliance program for these three advisers as well as for a registered closed-end fund. The program also covers broker-dealer compliance relating to our 40 Act fund and private fund sales activities, as well as compliance for several affiliated off-shore investment advisers.

 

 

Role description:

• Set-up guideline coding restrictions using Bloomberg AIM for new or amended institutional separately managed accounts of funds.
• Provide compliance advice to portfolio management team regarding investment and trading issues.
• Monitor guidelines on an automated and manual basis.
• Research potential violations of client guidelines and report to management as appropriate.
• Prepare client certifications
• Perform forensic testing for investment and trading related issues
• Review performance dispersion and fair allocation

 

 

Skills, experience, qualifications and knowledge required:

• 5+ years compliance experience
• Ability to multi-task, work independently with minimal supervision and prioritize assignments to meet deadlines.
• Experience with Bloomberg AIM and Charles River
• Experience with Microsoft Office products and Bloomberg  
• Strong ability to develop effective working relationships with investment staff and articulate clearly recommendations.
• Strong ability to research details in order to perform a thorough analysis
• Project man