Job Title: Compliance & Control Manager Vice President
Job Code: 7158
Country: BM
City: Pembroke
Skill Category: Compliance
Corporate Title:
Vice President Department:
Nomura Securities (Bermuda) Ltd. Company 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. Role Description: The Compliance and Control Manager (CCM) will have responsibility for ensuring that Nomura Securities (Bermuda) Ltd. (Company) complies with its Bermuda regulatory requirements and internal policies. Reporting to the CEO, the position will focus on the maintenance of an effective regulatory and operational compliance environment within the organization by assisting in ensuring the Company discharges its obligations under applicable legislation and Group policy. This role will focus on the day-to-day management of the compliance and control needs of the Bermuda office including: Ensuring that the Company complies with its obligations with respect to the maintenance of a compliance program and controls as specified in the relevant Bermuda Acts, Codes, Regulations and Statements of Principles. Monitoring the Company’s compliance with reporting obligations to both the Bermuda Monetary Authority and other applicable Bermuda regulators and working with the CEO or COO as applicable in relation to filings. Updating and drafting local Bermuda operational and compliance policies and procedures as required. Working with the COO in reviewing and evaluating Company procedures and reports to identify risks or issues. Performing periodic reviews to assess the efficiency of key Company controls. Investigating irregularities and non-compliance issues and recommending effective improvements. Monitoring control systems to address violations of rules and internal policies. Participating in and supporting the conduct of internal and external enquiries, audits and investigations as necessary. Working with the CEO, providing oversight of the governance of the Company to ensure compliance, reporting and where relevant escalation. Assisting in the identification of compliance risks associated with the Company’s business including the compliance risks associated with changes in, or the development of new products or types of business. Reviewing applicable Bermuda regulations and arranging for legal opinions/review as necessary and implementing any required changes or updates to the Company’s policies and procedures as applicable. Liaising with and maintaining positive and constructive relationships with other compliance professionals and services within the Nomura Group and in particular the Americas; and Keeping up to date with relevant laws and regulations and relevant Group policies. Skills, experience, qualifications, and knowledge required: A university degree and/or professional accreditation in relevant studies such as finance, US or UK securities, law, operational compliance, governance etc. Legal and/or compliance experience preferably within an investment banking or capital markets environment or at an exchange or regulator. Methodical person with an attention to detail, together with an analytical approach to problem solving. Ability to identify genuine issues and understanding of when to escalate them. Excellent project management skills. Ability to work to short deadlines and make quick and reasoned decisions. Excellent communicator. Familiarity with PC software applications. Nomura is an Equal Opportunity Employer
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Vice President Department:
Nomura Securities (Bermuda) Ltd. Company 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. Role Description: The Compliance and Control Manager (CCM) will have responsibility for ensuring that Nomura Securities (Bermuda) Ltd. (Company) complies with its Bermuda regulatory requirements and internal policies. Reporting to the CEO, the position will focus on the maintenance of an effective regulatory and operational compliance environment within the organization by assisting in ensuring the Company discharges its obligations under applicable legislation and Group policy. This role will focus on the day-to-day management of the compliance and control needs of the Bermuda office including: Ensuring that the Company complies with its obligations with respect to the maintenance of a compliance program and controls as specified in the relevant Bermuda Acts, Codes, Regulations and Statements of Principles. Monitoring the Company’s compliance with reporting obligations to both the Bermuda Monetary Authority and other applicable Bermuda regulators and working with the CEO or COO as applicable in relation to filings. Updating and drafting local Bermuda operational and compliance policies and procedures as required. Working with the COO in reviewing and evaluating Company procedures and reports to identify risks or issues. Performing periodic reviews to assess the efficiency of key Company controls. Investigating irregularities and non-compliance issues and recommending effective improvements. Monitoring control systems to address violations of rules and internal policies. Participating in and supporting the conduct of internal and external enquiries, audits and investigations as necessary. Working with the CEO, providing oversight of the governance of the Company to ensure compliance, reporting and where relevant escalation. Assisting in the identification of compliance risks associated with the Company’s business including the compliance risks associated with changes in, or the development of new products or types of business. Reviewing applicable Bermuda regulations and arranging for legal opinions/review as necessary and implementing any required changes or updates to the Company’s policies and procedures as applicable. Liaising with and maintaining positive and constructive relationships with other compliance professionals and services within the Nomura Group and in particular the Americas; and Keeping up to date with relevant laws and regulations and relevant Group policies. Skills, experience, qualifications, and knowledge required: A university degree and/or professional accreditation in relevant studies such as finance, US or UK securities, law, operational compliance, governance etc. Legal and/or compliance experience preferably within an investment banking or capital markets environment or at an exchange or regulator. Methodical person with an attention to detail, together with an analytical approach to problem solving. Ability to identify genuine issues and understanding of when to escalate them. Excellent project management skills. Ability to work to short deadlines and make quick and reasoned decisions. Excellent communicator. Familiarity with PC software applications. Nomura is an Equal Opportunity Employer
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