Regulatory Counsel - Executive Director

The pay range for this position at commencement of employment is expected to be between $175,000 and

$225,000/year*

 

Department 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:

• Legal team of regulatory attorneys supporting Americas Wholesale division.  Team handles broker-dealer regulatory matters, swap dealer regulatory matters, and futures commission merchant regulatory matters, including exams, inquiries and investigations.  Team also provides regulatory advice to business partners.

 

Role description:

• Primarily work on CFTC, NFA, FINRA and SEC regulatory matters.
• Cover a number of projects at one time.
• Work effectively and in partnership with legal and compliance colleagues, as well as colleagues throughout the firm.
• Organize and manage responses for regulatory exams and inquiries.
• Assist in drafting responses to regulators, identifying potential concerns and raising them to management.
• Role is mostly remote.

 

Skills, experience, qualifications and knowledge required:

• Juris Doctor (U.S.); Must be licensed to practice law and be a member in good standing in New York.
• Financial regulatory experience at a law firm or a financial firm is required; experience at a self-regulatory organization or a government agency a plus.  Ideally, candidate will have a minimum of 3-6 years regulatory legal experience.
• Knowledge of and experience with the CFTC, SEC, NFA and FINRA rules and regulations.
• Knowledge of the fixed-income markets, especially swaps.
• Self-motivated, team player with the ability to be flexible and adaptable in a fast-paced environment.
• Detail-oriented with strong organizational skills.
• Experience with working on regulatory exams and inquiries.
• Excellent written and oral communication skills, interpersonal skills and presentation skills.
• Ability to work independently and respond proactively.

*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