Nomura Holdings, inc.
Compliance Officer Wholesale and Regulatory Compliance - Vice President(m/w/x)
Full-timeOn-siteExperienced
Frankfurt am Main
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NONomura
Compliance Officer Swap Dealer and Wholesale Compliance - Vice President(m/w/x)
Frankfurt am Main
Full-timeOn-siteExperienced
Nejo AI Summary
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.
Requirements
- 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
Tasks
- 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
Work Experience
- approx. 1 - 4 years
Education
- Vocational certificationOR
- Bachelor's degree
Languages
- English – Business Fluent
- German – Business Fluent
Tools & Technologies
- Microsoft Office
- Excel
- Power Point
Find the original job posting in its most current version here. Nejo automatically captured this job from the website of Nomura and processed the information on Nejo with the help of AI for you. Despite careful analysis, some information may be incomplete or inaccurate. Please always verify all details in the original posting! Content and copyrights of the original posting belong to the advertising company.
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NONomura
Compliance Officer Swap Dealer and Wholesale Compliance - Vice President(m/w/x)
Frankfurt am Main
Full-timeOn-siteExperienced
Nejo AI Summary
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.
Requirements
- 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
Tasks
- 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
Work Experience
- approx. 1 - 4 years
Education
- Vocational certificationOR
- Bachelor's degree
Languages
- English – Business Fluent
- German – Business Fluent
Tools & Technologies
- Microsoft Office
- Excel
- Power Point
Find the original job posting in its most current version here. Nejo automatically captured this job from the website of Nomura and processed the information on Nejo with the help of AI for you. Despite careful analysis, some information may be incomplete or inaccurate. Please always verify all details in the original posting! Content and copyrights of the original posting belong to the advertising company.
Like this job?
BetaYour Career Agent finds similar jobs for you every day.
About the Company
Nomura
Industry
FinancialServices
Description
The company is a global financial services group providing solutions in Wealth Management, Investment Management, and Wholesale.
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