Distribution Compliance Associate

Company Overview

Nomura is a financial services group with an integrated global network. By connecting markets East & West, we service the needs of individuals, institutions, corporates and governments through our four business divisions: Wealth Management, Investment Management, Wholesale (Global Markets and Investment Banking) and Banking.

Driven by the insights of some 28,000 people worldwide, we put our clients at the center of everything we do, delivering unparalleled access to, from, and within Asia. For further information about Nomura, visit www.nomura.com.

Role Description

• Administer framework for various aspects of the firm’s limited purpose broker Delaware Distributors, L.P. (“DDLP”) compliance program. Specifically, efforts relating to sales practices, licensing/registration, testing/certification, and continuing education.
• Serve as a trusted advisor for broker dealer matters, fostering open communication and encouraging proactive escalation of concerns.
• Perform periodic reviews and compliance testing relating to various broker dealer requirements.
• Assist in the creation and delivery of quarterly and annual compliance reports and management reporting.
• Analyse compliance trends and regulatory changes to identify potential risks and opportunities then implement necessary updates.
• Cross train and assist in other areas of the broker dealer compliance program and coordinate with operations, legal, and business development teams on compliance matters.
• Lead and contribute to strategic compliance initiatives, demonstrating ownership and driving organizational capability enhancement.

Skills, experience, qualifications and knowledge required

• Bachelor’s degree in business, finance, or a related field
• Minimum of 2-4 years’ relevant experience
• Knowledge of securities regulations specifically broker dealer and investment adviser rules.
• Knowledge of ETF and private fund structures and regulations a plus.
• Demonstrates ability to influence and inspire others toward compliance excellence.
• Strong analytical skills and problem-solving abilities with ability to identify trends and strategic opportunities.
• Detail-oriented with ability to work in unstructured situations and shift quickly to new tasks when priorities change.
• Ability to work effectively across different levels of the organization.
• Excellent written and verbal communication skills.
• Self-starter; proactive approach to work assignments; willingness to learn and work in a team environment.
• Experience with automated compliance solutions for monitoring, regulatory reporting, digital recordkeeping, and real-time surveillance of sales activities.
• Ability to work with modern distribution channels, integrate compliance systems with fintech platforms, and leverage data analytics for risk assessment and regulatory reporting.

Nomura Leadership Behaviours

• Explore Insights & Vision: Identify the underlying causes of problems faced by you or your team and define a clear vision and direction for the future.
• Making Strategic Decisions: Evaluate all the options for resolving the problems and effectively prioritize actions or recommendations.
• Inspire Entrepreneurship in People: Inspire team members through effective communication of ideas and motivate them to actively enhance productivity.
• Elevate Organizational Capability: Engage proactively in professional development and enhance team productivity through the promotion of knowledge sharing.
• Inclusion: Foster a culture of inclusion and psychological safety in the workplace and cultivate a "Risk Culture" (Challenge, Escalate and Respect).

Additional Information

The pay range for this position at commencement of employment is expected to be between $100,000 and $125,000 per year. (See below for additional compensation and benefits information.)

If hired in the U.S., 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.