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
Department Overview:
Nomura Asset Management is headquartered in Tokyo but NAM-UK is the largest overseas office.
Role Duties and Responsibilities:
- Reviewing marketing materials and client communications for compliance with FCA requirements and applicable local regulatory standards across UK, EU, Africa, and Middle East markets, providing timely responses to meet business demand.
- Providing regulatory guidance and support to Distribution colleagues and compliance teams across group affiliates on marketing materials requirements and cross-border distribution arrangements.
- Maintaining accurate records of reviews and approvals, and supporting process improvements to enhance review efficiency.
Skills & Experience:
- Experience in a compliance role within financial services, ideally within asset management or investment management.
- Strong working knowledge of FCA Conduct of Business rules, particularly relating to financial promotions and client communications.
- Experience reviewing marketing materials, presentations, and client communications for regulatory compliance.
- Excellent attention to detail with ability to identify regulatory risks and provide practical, commercial solutions.
- Strong written and verbal communication skills, with ability to explain regulatory requirements clearly to non-compliance colleagues.
- Ability to work under pressure, manage competing priorities, and deliver timely responses to meet business deadlines.
- Proficiency in Microsoft Office (Word, Excel, PowerPoint).
Attributes:
- Diligent and thorough – meticulous attention to detail when reviewing materials to ensure full regulatory compliance and identify potential risks.
- Clear communicator – able to explain complex regulatory requirements in plain language to colleagues across the business.
- Responsive and reliable – committed to meeting deadlines and providing timely responses to support business and client demands.
- Collaborative team player – works effectively with colleagues across Distribution, Compliance, and group affiliates to achieve shared objectives.
- Adaptable and resilient – comfortable working in a fast-paced environment with competing priorities and changing requirements.
- Proactive problem-solver – takes initiative to identify issues early and propose solutions before they escalate.
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: Respect DEI, foster a culture of inclusion and psychological safety in the workplace and cultivate a "Risk Culture" (Challenge, Escalate and Respect).
Diversity & Inclusion
Nomura is an equal opportunity employer. We value diversity and are committed to creating an inclusive environment for all our employees.
We do not discriminate on the basis of age, disability, gender identity and gender expression, pregnancy and maternity, marriage and civil partnership, race, religion or belief, sex or sexual orientation.
If you require any assistance or reasonable adjustments due to a disability or long-term health condition, please do not hesitate to contact us.
Nomura is an Equal Opportunity Employer