Compliance Monitoring Analyst/ Associate

  • Negotiable
  • London, England, United Kingdom
  • Permanent, Full time
  • Nomura Asset Management
  • 14 Feb 19

An exciting opportunity has arisen at Nomura Asset Management, for a Compliance Analyst or Associate to join the team in a geneeralist capacity with a strong focus on Compliance Monitoring. The compliance monitoring programme tasks (including supervision of an off-shore service provider) together with providing guidance on compliance enquiries from the business.

Nomura Asset Management (NAM) has approximately 100 employees based in its London office with a team of five people working within the Compliance Department.

This role is to oversee the Compliance Department's compliance monitoring programme tasks (including supervision of an off-shore service provider) together with providing guidance on compliance enquiries from the business. The Compliance Department has a wide remit and covers areas such as FCA and SEC regulation, operational risk management, internal audit and legal. The team works closely with the Investment Management, Marketing and Client Service Department, Trading, IT and Portfolio Administration teams in London and many areas of the Nomura Asset Management Group in Tokyo, Germany, Singapore, Hong Kong and New York.

The Compliance Department is an integral part of the business and the candidate selected for this role will liaise directly with front, middle and back office teams within the company.

Role / Principal Accountabilities:

  • Supervision of the off-shore service provider checking the daily compliance exception monitoring reports generated from our portfolio management systems (Charles River, Bloomberg AIM and Apollo). Where required, investigate exceptions until resolution.
  • Completion of the compliance monitoring programme, including monthly transaction/market abuse monitoring monitoring, website review, order management systems user access rights review, Bloomberg chat monitoring, etc..
  • Responding to client related enquiries raised by the Client Services team in a timely manner, idenitfying any potential issues and propose practical solutions.
  • Assist with system testing for new fund launches / system upgrades.
  • Prepare Approved Persons applications to the FCA and other regulatory returns, e.g. quarterly SEC Form 13F return.
  • Administration of staff personal account dealing, gifts and entertainment and outside business interests dealing requests and associated staff certifications.Skills & Experience Required:

Skills & Experience

  • Proven background in Compliance monitoring
  • Experience of portfolio management systems such as Charles River, Bloomberg AIM, Apollo together with the technical ability to interpret and programme investment guidelines would be advantageous, although training will be provided.
  • Be approachable in the department and flexible in exposure to a variety of duties and deadlines.
  • Be able to communicate on all levels, verbally and in written communications/reports.