Equity Derivatives Compliance Officer - Executive Director

The pay range for this position at commencement of employment is expected to be between $220K and $260K/ year*

 

Company overview

Nomura is a global financial services group with an integrated network spanning over 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Retail, Wholesale (Global Markets and Investment Banking), and Investment Management. 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:

 

The Global Markets (GM) Compliance team serves primarily in an advisory role, providing compliance support to the GM businesses of Nomura Holding America Inc. (NHA), interacting with compliance colleagues globally, and working closely with other support functions.  This role specifically supports the GM Equity Compliance Team with a focus on equity derivatives. 

 

The broader 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. 

 

Skills, experience, qualifications and knowledge required:

• Minimum of 10 to 15 years equity compliance experience.
• BA/BS in Finance or related field (MBA or MA/MS a plus).
• Strong knowledge of rules and regulations that apply to OTC and listed equity derivatives and cash products, specifically knowledge of FINRA, SEC, CBOE, ISE, and other exchange rules.
• Ability to provide subject matter expertise and advise on a variety of regulatory topics in a clear, concise manner.
• Ability to work with technology and front office personnel on regulatory change management projects.
• Experience drafting compliance policies and written supervisory procedures and advising on an effective control framework.
• Ability to provide product expertise to regulatory inquiries and exam team.  
• Familiar with reviewing equities-related surveillance alerts and escalations.

 

Key objectives critical to success:

• Ability to work in a fast-paced environment and provide clear, concise, and timely responses to front office personnel.
• Strong verbal and written communication skills.
• Strong organizational skills.
  • Strong team player.
  • Ability to provide compliance training and clearly articulate applicable regulations and internal policies and procedures.  

Essential

• Prior experience in an Equity Compliance role with a concentration in equity derivatives.
• Strong interpersonal and communication skills.   
• Minimum BA/BS in Finance or related field.

 

Desirable

• Experience with SEC OTC Derivative Dealer regulation.
• Prior coverage of Prime Services and/or Operations Compliance.
• Working knowledge of CFTC/SEC swap regulation and structured products.
• FINRA licenses.

 

*base pay offered may vary depending on multiple individualized factors, including market location, corporate and functional title and duties, job-related knowledge and advanced degrees, skills, and experience. The total compensation package for this position may also include other elements, including a sign-on bonus, restricted stock units, and discretionary awards in addition to a full range of medical, financial, and/or other benefits (including 401(k) eligibility and various paid time off benefits, such as vacation, sick time, and parental leave), dependent on the position offered. Details of participation in these benefit plans will be provided if an employee receives an offer of employment.

 

 

If hired, employee will be in an “at-will position” and the Company reserves the right to modify base salary (as well as any other discretionary payment or compensation program) at any time, including for reasons related to individual performance, Company or individual department/team performance, and market factors”.

 

 

Nomura is an Equal Opportunity Employer