Compliance - Portfolio Management & Trading Vice President

Nomura • New York, NY

274d • $150,000 - $175,000

About The Position

Nomura is a global financial services group with an integrated network spanning approximately 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Wealth Management, Investment Management, and Wholesale (Global Markets and Investment Banking). Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought leadership. The U.S. Investment Management group consists of three SEC-registered advisers and manages assets for various investment vehicles. The Investment Management Compliance team administers the compliance program for these advisers and covers broker-dealer compliance relating to fund sales activities.

Requirements

• 5+ years compliance experience.
• Ability to multi-task, work independently with minimal supervision and prioritize assignments to meet deadlines.
• Experience with Bloomberg AIM and Charles River.
• Experience with Microsoft Office products and Bloomberg.
• Strong ability to develop effective working relationships with investment staff and articulate clearly recommendations.
• Strong ability to research details in order to perform a thorough analysis.
• Project management experience; and extensive experience managing multiple projects concurrently and meeting deadlines.
• Flexibility to work well with a team.
• Strong knowledge of the Investment Advisers Act.
• Strong knowledge of the Investment Company Act.
• Proven capability in analyzing complex data, evaluating information and drawing logical conclusions.

Responsibilities

• Set-up guideline coding restrictions using Bloomberg AIM for new or amended institutional separately managed accounts of funds.
• Provide compliance advice to portfolio management team regarding investment and trading issues.
• Monitor guidelines on an automated and manual basis.
• Research potential violations of client guidelines and report to management as appropriate.
• Prepare client certifications.
• Perform forensic testing for investment and trading related issues.
• Review performance dispersion and fair allocation.

Benefits

• 401(k) eligibility
• various paid time off benefits, such as vacation, sick time, and parental leave

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Industry: Specialty Trade Contractors