Compliance Officer, Wholesale & Regulatory Compliance - VP/ED - 12-Month Contract

Tasks

• Establishment and Improvement of the Risk Analysis and Control Framework
• Proactive support for business units through the identification, reporting, and management of compliance issues, regulations, and investor matters
• Coordination and consultation with branch offices on compliance-related matters
• Conducting compliance monitoring and testing activities, providing support in implementing recommendations from monitoring reports through to resolution
• Conducting various reporting activities, including compliance audits
• Preparation of regulatory registrations, reports, and filings with the German regulatory authority within the prescribed deadlines
• Support in maintaining compliance policies and registries
• Providing compliance training for employees
• Cooperation with the registration and trading supervision departments of stock exchanges
• Tracking Required Documents
• Implementation of the requirements pursuant to § A74.4.2 MaRisk
• Independent development of solutions/scenarios for the company's compliant operations, taking into account cross-references to other regulatory requirements
• Collaborate with other departments at NPME to ensure that regulatory developments in Germany are fully implemented
• Independent gap analysis of regulatory requirements within the compliance department, in collaboration with other departments within the company
• Contribute to the protection of Nomura, its reputation, and regulatory risk, as well as to the management of regulatory and marketing risks, by providing practical support to specific business units
• Provision of compliance consulting services to NPFE clients from the office and on an institutional basis
• Coordinating the completion of due diligence questionnaires and other documents
• An opportunity to drive change and optimize regulatory processes

Requirements

• Financial professionals with a strong track record and proven knowledge of financial products, including but not limited to NPFBE, loans, bonds, money market products, and foreign exchange
• 8 years of industry experience at at least two major European (ideally German) banks in wholesale banking, including at least 4 years of direct involvement with complex products
• 4+ years of experience at a regulatory authority (e.g., roles corresponding to P5 at German regulatory authorities such as BaFin or, equivalently, S2 at European regulatory authorities), including at least 2 years managing regulatory filings in the FIDCR markets or for FCA-regulated products (MLF, etc.)
• Extensive experience working with NFPE clients and institutions
• Strong and effective communication skills—both in person and in writing—including stakeholder management and escalation
• Compliance Officer Qualifications
• Powerful data analysis tools, including Excel and/or Power Query
• Experience with compliance/regulatory platforms, such as IHS Faircom, ComplianceWorks, DealWatch, Palantir, PolicyPlatform, etc.
• Working knowledge of MS Office / O365 and related applications and systems for regulatory compliance and financial regulatory reporting
• Ability to work under multiple deadlines, with prioritization and problem-solving/management skills
• A team player with a positive and solution-oriented attitude
• Strong relationship management and stakeholder engagement skills
• Strong ability to plan and prioritize. The successful candidate will be required to perform a range of tasks
• A strong focus on results and excellent communication skills with senior management and compliance/investment stakeholders