Analyst, Employee Compliance

Nomura Holdings, inc.•Philadelphia, PA

49d•$70,000 - $80,000•Onsite

About The Position

The Employee Compliance Analyst supports the administration of the NAM International Code of Ethics, adopted under Rule 204A-1 of the Advisers Act and Rule 17j-1 of the Investment Company Act, across the Firm's covered entities in the US, EMEA and Asia ex-Japan. The role reports to the Code of Ethics and Employee Compliance Lead.

Requirements

Bachelor's degree required; 1–3 years of experience in compliance, operations, audit or a control function at an investment adviser, fund complex, broker-dealer or other financial services firm (relevant internship experience considered).
Working knowledge of, or demonstrable interest in, personal trading and employee compliance requirements under Rule 204A-1 of the Advisers Act, Rule 17j-1 of the Investment Company Act, and Rule 204-2 recordkeeping obligations; awareness of beneficial ownership concepts under Exchange Act Rule 16a-1(a)(2) is an advantage.
Exposure to employee compliance / personal trading platforms (i.e. ComplySci, FIS/ECM, StarCompliance or similar) or a proven ability to learn new systems quickly; strong Microsoft Excel skills, plus Word, Outlook and PowerPoint.
Exceptional attention to detail and accuracy in high-volume data processing, document review and recordkeeping, with the discipline to manage multiple recurring regulatory deadlines independently.
Clear, professional written and verbal communication skills, with the confidence to follow up with employees at all levels on outstanding submissions and missing information.
Sound judgment, discretion and integrity in handling confidential personal financial information and sensitive conduct matters; understands when to escalate rather than interpret.
Organized, proactive and collaborative, comfortable working across a small team supporting multiple legal entities and regions (US, EMEA and AEJ) and contributing to process improvement.

Responsibilities

Support the pre-clearance system and personal trading program, including holdings and transaction reporting, Reportable Account and Approved Broker records, restricted list screening, holding periods and blackout windows; administer the Code acknowledgement and annual certification cycles, including distribution, tracking and follow-up with non-responders.
Maintain the access person and covered person lists, onboard new joiners with Code materials and reporting instructions, and process role changes and departures.
Log and track political contributions, gifts and entertainment, outside business activities and interests, and limited offering and private placement approval requests, escalating threshold breaches and exceptions for review.
Maintain personal trading and Code of Ethics records to support Rule 204-2 and Rule 17j-1 recordkeeping requirements; retrieve records for internal audit and regulatory examinations, and produce recurring management information on pre-clearance activity, submission status, exceptions and violation trends to support governance and Fund board reporting.
Help distribute Code amendments and appendix updates, prepare training materials and coordinate sessions, and support system and automation improvements.