Nomura Holdings, inc.
Compliance Officer Wholesale and Regulatory Compliance - Vice President(m/w/x)
Vollzeitnur vor OrtBerufserfahren
Frankfurt am Main
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NONomura
Compliance Officer Swap Dealer and Wholesale Compliance - Vice President(m/w/x)
Frankfurt am Main
VollzeitVor OrtBerufserfahren
Nejo KI-Zusammenfassung
Ensuring CFTC and NFA compliance for a global financial services group. Practical understanding of Swap Dealer regulations required. Support for corporate functions, interaction with regulators.
Anforderungen
- Studies in law, economics, or similar; professional education and relevant experience
- Relevant professional experience
- Good written and verbal communication skills
- Practical understanding of CFTC Swap Dealer Regulations, MiFID, German and European legislation
- Knowledge of Title VII of Dodd Frank Act
- Knowledge of relevant FCA/PRA rules is an asset
- Experience with 2nd line testing and monitoring or 3rd line audit testing
- Experience with SD and SBSD rules and requirements ideally
- Compliance and/or regulatory experience or equivalent
- Focus on Dodd Frank SD regulations ideally
- Strong understanding of 3LOD model and Compliance role
- Resilient team player interacting with various individuals and seniority
- Curious, check and challenge mentality
- Continuous improvement mentality
- Clear and concise communication of advice/guidance
- Ability to work independently
- Well-developed analytical skills
- Ability to distil complex information into briefings
- Methodical with strong attention to detail
- Ability to work well under pressure
- Ability to move between tasks quickly
- Ability to project manage regulatory matters
- Knowledge of Global Markets businesses
- Ability to work well under pressure
- Strong organisational skills
- Ability to collaborate with various functional teams
- Strong prioritisation skills
- Strong time management skills
- Ability to work proactively individually and in team
- Responsibility to achieve results in set timeframe
Aufgaben
- Ensure compliance with CFTC and NFA regulations
- Support interactions with CFTC and NFA
- Maintain Swap Dealer governance framework
- Supervise outsourced processes and controls
- Provide compliance support for corporate functions
- Track and advise on US OTC derivatives regulatory changes
- Maintain SD Compliance policies and procedures
- Design and deliver US regulatory training
- Support US registration obligations
- Oversee US regulatory reporting and filing
- Respond to US regulatory inquiries and examinations
- Track and report non-compliance issues
- Compile and file NFPE SD annual reports
- Manage day-to-day compliance program operations
- Conduct periodic compliance reviews
- Provide compliance advisory services
- Enhance risk analysis and control framework
- Support business units in managing regulatory risks
- Liaise with branches and EMEA stakeholders
- Execute compliance monitoring and testing
- Identify and report compliance issues
- Drive closure of compliance monitoring recommendations
- Prepare regulatory registrations and reports
- Liaise with Registration and Trade Surveillance Departments
- Coordinate completion of Due Diligence Questionnaires
- Ensure regulatory developments are implemented
- Perform gap analysis of regulatory requirements
- Contribute to Nomura's risk management and protection
Berufserfahrung
- ca. 1 - 4 Jahre
Ausbildung
- Abgeschlossene BerufsausbildungODER
- Bachelor-Abschluss
Sprachen
- Englisch – verhandlungssicher
- Deutsch – verhandlungssicher
Tools & Technologien
- Microsoft Office
- Excel
- Power Point
Die Originalanzeige dieses Stellenangebotes in der aktuellsten Version findest du hier. Nejo hat diesen Job automatisch von der Website des Unternehmens Nomura erfasst und die Informationen auf Nejo mit Hilfe von KI für dich aufbereitet. Trotz sorgfältiger Analyse können einzelne Informationen unvollständig oder ungenau sein. Bitte prüfe immer alle Angaben in der Originalanzeige! Inhalte und Urheberrechte der Originalanzeige liegen beim ausschreibenden Unternehmen.
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NONomura
Compliance Officer Swap Dealer and Wholesale Compliance - Vice President(m/w/x)
Frankfurt am Main
VollzeitVor OrtBerufserfahren
Nejo KI-Zusammenfassung
Ensuring CFTC and NFA compliance for a global financial services group. Practical understanding of Swap Dealer regulations required. Support for corporate functions, interaction with regulators.
Anforderungen
- Studies in law, economics, or similar; professional education and relevant experience
- Relevant professional experience
- Good written and verbal communication skills
- Practical understanding of CFTC Swap Dealer Regulations, MiFID, German and European legislation
- Knowledge of Title VII of Dodd Frank Act
- Knowledge of relevant FCA/PRA rules is an asset
- Experience with 2nd line testing and monitoring or 3rd line audit testing
- Experience with SD and SBSD rules and requirements ideally
- Compliance and/or regulatory experience or equivalent
- Focus on Dodd Frank SD regulations ideally
- Strong understanding of 3LOD model and Compliance role
- Resilient team player interacting with various individuals and seniority
- Curious, check and challenge mentality
- Continuous improvement mentality
- Clear and concise communication of advice/guidance
- Ability to work independently
- Well-developed analytical skills
- Ability to distil complex information into briefings
- Methodical with strong attention to detail
- Ability to work well under pressure
- Ability to move between tasks quickly
- Ability to project manage regulatory matters
- Knowledge of Global Markets businesses
- Ability to work well under pressure
- Strong organisational skills
- Ability to collaborate with various functional teams
- Strong prioritisation skills
- Strong time management skills
- Ability to work proactively individually and in team
- Responsibility to achieve results in set timeframe
Aufgaben
- Ensure compliance with CFTC and NFA regulations
- Support interactions with CFTC and NFA
- Maintain Swap Dealer governance framework
- Supervise outsourced processes and controls
- Provide compliance support for corporate functions
- Track and advise on US OTC derivatives regulatory changes
- Maintain SD Compliance policies and procedures
- Design and deliver US regulatory training
- Support US registration obligations
- Oversee US regulatory reporting and filing
- Respond to US regulatory inquiries and examinations
- Track and report non-compliance issues
- Compile and file NFPE SD annual reports
- Manage day-to-day compliance program operations
- Conduct periodic compliance reviews
- Provide compliance advisory services
- Enhance risk analysis and control framework
- Support business units in managing regulatory risks
- Liaise with branches and EMEA stakeholders
- Execute compliance monitoring and testing
- Identify and report compliance issues
- Drive closure of compliance monitoring recommendations
- Prepare regulatory registrations and reports
- Liaise with Registration and Trade Surveillance Departments
- Coordinate completion of Due Diligence Questionnaires
- Ensure regulatory developments are implemented
- Perform gap analysis of regulatory requirements
- Contribute to Nomura's risk management and protection
Berufserfahrung
- ca. 1 - 4 Jahre
Ausbildung
- Abgeschlossene BerufsausbildungODER
- Bachelor-Abschluss
Sprachen
- Englisch – verhandlungssicher
- Deutsch – verhandlungssicher
Tools & Technologien
- Microsoft Office
- Excel
- Power Point
Die Originalanzeige dieses Stellenangebotes in der aktuellsten Version findest du hier. Nejo hat diesen Job automatisch von der Website des Unternehmens Nomura erfasst und die Informationen auf Nejo mit Hilfe von KI für dich aufbereitet. Trotz sorgfältiger Analyse können einzelne Informationen unvollständig oder ungenau sein. Bitte prüfe immer alle Angaben in der Originalanzeige! Inhalte und Urheberrechte der Originalanzeige liegen beim ausschreibenden Unternehmen.
Gefällt dir diese Stelle?
BetaDein Career Agent findet täglich ähnliche Jobs für dich.
Über das Unternehmen
Nomura
Branche
FinancialServices
Beschreibung
The company is a global financial services group providing solutions in Wealth Management, Investment Management, and Wholesale.
Noch nicht perfekt?
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