Location
London

Hours
Full Time

About the Role
This role within the Swap Dealer Compliance team offers comprehensive exposure to regulatory examinations, monitoring and testing, business advisory, and horizon scanning activities. The position focuses on critical administrative support including management information reporting and regulatory filing preparation, providing a strong foundation for developing expertise in Swap Dealer Compliance fundamentals.

Key responsibilities include supporting the 2nd line of defence SD/SBSD Compliance monitoring and testing as per the annual Compliance testing plan; assisting with the maintenance of Nomura International Plc’s SD and SBSD compliance and governance framework; providing compliance support, advice, and guidance related to Title VII of the Dodd Frank Act; ensuring oversight of rules and regulations applicable to Nomura as a CFTC & SEC registrant and NFA member from a 2nd line of defence perspective; supporting interactions with SEC, CFTC and NFA; maintaining the SD/SBSD governance framework for the Chief Compliance Officer; supporting the supervisory regime for corporate functions; tracking and advising on US OTC derivatives regulatory changes; maintaining SD/SBSD Compliance policies and procedures; supporting the design and delivery of US regulatory training; overseeing US registration obligations; advising on US regulatory reporting and filing requirements; responding to US regulatory inquiries and examinations; tracking non-compliance issues and producing management information; and assisting with the compilation and filing of annual reports and other compliance filings.

Experience
- Practical understanding of CFTC & SEC Swap Dealer/Security Based Swap Dealer Regulations as well as FCA/PRA/MiFID rules and relevant European legislation where substituted compliance is taken.
- Knowledge and awareness of Title VII of the Dodd Frank Act.
- Experience with or undertaking 2nd line testing and monitoring and/or 3rd line of defence audit testing, ideally related to SD and SBSD rules and requirements.
- Compliance and/or regulatory experience with a focus on Dodd Frank SD/SBSD regulations.
- Strong understanding of the Three Lines of Defence (3LOD) model and the role of Compliance within that model.

About you
- Resilient team player able to interact effectively with colleagues across Compliance and various business divisions at different seniority levels.
- Curious with a check and challenge mindset and a continuous improvement outlook.
- Ability to communicate advice and guidance clearly and concisely.
- Capable of working independently without close supervision.
- Well-developed analytical skills with the ability to distil complex information into high-level briefings and impact analysis.
- Methodical with strong attention to detail.
- Ability to work well under pressure and manage multiple tasks efficiently.
- Strong project management skills, particularly related to regulatory enquiries, examinations, or change initiatives.
- Knowledge and understanding of Global Markets businesses is desirable.
- Strong organisational skills with the ability to collaborate across multiple functional teams.
- Excellent prioritisation and time management abilities.
- Genuine interest in the Financial Services industry.

Qualifications
Relevant compliance or regulatory qualifications are advantageous but not explicitly stated as mandatory.