Compliance Job at Nomura Holdings, Inc.

Nomura Holdings, Inc. New York, NY 10019

Job Code:
1223104
Skill Category:
Compliance
Location:
Americas
Client Job Ref:

Job Type:
Permanent
Post Start Date:
27 Sep 2022
Post End Date:
Job Summary:

The pay range for this position at commencement of employment is expected to be between $145K and $200K/year*

Company overview

Nomura is a global financial services group with an integrated network spanning over 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Retail, Wholesale (Global Markets and Investment Banking), and Investment Management. Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought leadership. For further information about Nomura, visit www.nomura.com.

Aon's Benefit Index , Nomura's benefits rank #1 amongst our competitors

Department overview:

Nomura Asset Management U.S.A. ("NAM-USA") provides investment advisory and investment management services primarily to institutional clients. NAM-USA is a wholly owned subsidiary of Nomura Asset Management Co., Ltd, ("NAM-Tokyo"). NAM-Tokyo is one of the largest asset management firms in Japan. NAM-Tokyo is owned by Nomura Holdings, Inc. ("NHI") a Japanese public company. Nomura Asset Management U.S.A. Inc. has been registered as an investment adviser with the SEC since 1976.

NAM-USA provides discretionary and non-discretionary investment advisory services primarily to institutional clients such as U.S. and non-U.S. corporate pension plans. NAM-USA offers equity and fixed income investment strategies to support the diverse needs of our clients. A significant portion of NAM USA's institutional client base are high yield credit mandates managed by our affiliate, New York-based Nomura Corporate Research and Asset Management ("NCRAM").

Responsibilities:

  • Works closely with the Head of Distribution and Institutional Business Development team to insure best in class client service is delivered consistently.
  • Lead the Client Relationship Management team and oversee all aspects of the firm client service responsibilities
  • Client Service - Assist with in-person client meetings, portfolio reviews and/or Board Meetings with clients. Arrange logistics, help with creation of presentation materials, coordinate internal pre-meeting, and oversee follow-up and documentation in Salesforce. Respond to client inquiries including, but not limited to, questions regarding performance, portfolio attribution, statements/custom client reporting, portfolio guideline changes, investment management agreements, personnel changes at firm, capabilities, etc.
  • Client On-boarding - Coordinate all aspects of client on-boarding with front, middle and back offices
  • RFPs - Serve as Lead Writer in the RFP process. Coordinate the completion of RFPs and DDQs. Collaborate with Subject Matter Experts throughout the firm to create accurate responses to standard and customized questions. Maintain a database of standard RFP responses. Commit to improving the efficiency of the RFP process and quality of RFP submissions.

Skills, experience, qualifications and knowledge required:

  • Bachelor's degree or equivalent
  • 7-10 years client relationship and RFP experience with an established asset management firm.
  • Excellent communication and influencing skills and ability to navigate all levels of management to drive decision-making and execution.
  • Knowledge of investment products

  • Ability to be multi-task, be flexible and adaptable, and work well both independently and as a member of a team.
  • Progress towards a Series 7 and Series 63 strongly encouraged

  • base pay offered may vary depending on multiple individualized factors, including market location, corporate and functional title and duties, job-related knowledge and advanced degrees, skills, and experience.

If hired, employee will be in an "at-will position" and the Company reserves the right to modify base salary (as well as any other discretionary payment or compensation program) at any time, including for reasons related to individual performance, Company or individual department/team performance, and market factors".

Nomura is an Eq




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