Compliance - Portfolio Management & Trading Associate

Corporate Title: Associate

Department: Compliance

Location: New York-Midtown (Hybrid)

 

The base pay range for this position at commencement of employment is expected to be between $105K and $125K/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:

• Monitor guidelines on an automated and manual basis and determine if investments are permissible.
• Research potential violations of client guidelines and report to management as appropriate.
• Perform forensic testing for investment and trading related issues
• Review fair allocation
• Review for cross trades
• Provide compliance advice to portfolio management team regarding investment and trading issues

 

 

Skills, experience, qualifications and knowledge required:

• 3+ years in a compliance role within Asset Management
• Experience with Bloomberg AIM and Charles River
• Experience with Microsoft Office products and Industry products such as FactSet and Bloomberg
• Excellent communication skills, both verbal and written
• Proven capability in analyzing complex data, evaluating information and drawing logical conclusions
• Highly organized, detail oriented and demonstrated track record of managing competing priorities
• Strong ability to develop effective working relationships with investment staff and articulate clearly on recommendations
• Working knowledge of the Investment Advisers Act & Investment Company Act
• Bachelor’s degree in business, finance or related field

 

 

*base pay offered may vary depending on multiple individualized factors