COM-Central Compliance

The Central Compliance team provides support to Nomura entities globally on Training & Affirmations and Policies Management, Licensing and Registrations, Regulatory Change and Reporting, and Infrastructure Advisory functions.

Requirements

• Supporting the compliance processes for staff registrations basis Swap Dealer Associated Person (AP) and Security-Based Swap Dealers Associated Person (AP) requirements by CFTC/NFA
• Execute daily registration activities, including processing new Associated Person applications and ensuring ongoing employee compliance with regulatory frameworks
• Administer and support the US Compliance team with 15a6 registration processes
• Monitoring and Tracking employees for completion of their CE firm element requirements
• Develop and maintain SOPs and process documentation; prepare MI reporting and ensure accurate & timely reporting to all stakeholders.

Benefits

• Comprehensive benefits program
• Retirement plan
• Employee assistance program