Client Regulatory Support and Outreach- Associate

4 weeks ago

London, United Kingdom eFinancialCareers Full time

**Company overview**

**Department overview**:
The Client Onboarding and Regulatory Outreach teams coordinate the onboarding of all clients in EMEA covering the Global Markets and Investment Banking Sales teams as well as monitoring both Group and Client adherence to global regulatory obligations. Youwill join an established team, focused on delivering onboarding efficiency, regulatory adherence and exceptional client service. The team sits within Operations' Client Service Group.

**Role description**:

- Manage and resolve regulatory point-of-trade queries from Sales. Regulatory SME review required to ensure;- pipeline trades meet regulatory requirements and breaches are avoided
- data discrepancies are investigated and remediated in a timely manner to ensure trades can be booked
- Help identify areas for improvement and remediation, and re-design and enhance the Regulatory Control process within Client Onboarding
- Monitor Data Quality Control reports and feed in to the governance framework for Onboarding, running the day to day process to ensure that all Clients are Onboarded accurately and in line with applicable regulations
- Take an active part in developing and maintaining MIS to track Onboarding performance and accuracy
- Collaborate with Corporate and Business milestone owners to evolve the Client Onboarding operating model in response to regulatory change.
- Assist in delivering Regulatory Outreach projects including:

- Proactive engagement with clients on all upcoming regulatory obligations to ensure timely compliance and mitigate risk of potential disruption to trading
- Front to back project scoping, data analysis and remediation, client query management for various smaller outreaches

**Key qualities critical for success**:

- Proven self-starter with the ability to work independently while supporting the overall goals of the team
- Keen eye for detail, methodical and accurate
- Ability to work and adapt in an ever-changing regulatory and control environment
- Ability to articulate key messages through all mediums and escalate potential risks in a timely manner
- Thorough understanding of the regulatory environment, ensuring clients are compliant as applicable

**Skills, experience, qualifications and knowledge required**
- Familiarity with industry related directives such as Dodd-Frank, EMIR, MIFID II, SFTR
- Project and change management skills
- Track record in process enhancement and improvement
- Educated to degree level or in the absence of that have appropriate banking experience (5-10 years)
- Knowledge of all major asset classes: equity, fixed income, derivatives and their data characteristics
- Ability to navigate complex data and hierarchy structures
- Knowledge of ongoing regulatory demands
- Excellent communication skills - both verbal and written as well as presentation skills
- Strategic thinker with strong analytical and problem solving skills
- Client oriented, with the ability to communicate at all levels internally and externally

**Nomura competencies**

**Trusted Partner**
- Understand clients' needs and issues, and respond with high-quality proposals
- Acquire capabilities to perform one's responsibilities and contribute to being a Trusted Partner

**Entrepreneurial leadership**
- Produce new ideas that might challenge the status-quo or oneself

**Teamwork**

Collaboration
- Seek advice from senior colleagues and utilize it for improved results
- Collaborate with members from relevant departments

Influence
- Contribute to the success of the organization both quantitatively and qualitatively, and act with awareness of the impact on others
- Serve as role model and provide guidance to junior employees

**Integrity**
- Have a good understanding of corporate philosophy, professional ethics, compliance, risk management, and code of conduct, and make decisions and take actions accordingly

**Right to Work**

**Diversity & Inclusion**

If you require any assistance or reasonable adjustments due to a disability or long-term health

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