Distribution Compliance Associate

Nomura Holdings, inc.•New York, NY

8d•$100,000 - $125,000•Onsite

About The Position

As an Associate, Compliance, you will administer the framework for various aspects of the firm’s limited purpose broker Delaware Distributors, L.P. (“DDLP”) compliance program. This includes efforts relating to sales practices, licensing/registration, testing/certification, and continuing education. You will support the maintenance and implementation of broker dealer compliance manuals, policies and procedures. You will work closely with internal business partners to ensure that all broker dealer activities are compliant and serve as a trusted advisor for broker dealer matters, fostering open communication and encouraging proactive escalation of concerns. You will perform periodic reviews and compliance testing relating to various broker dealer requirements and assist in the creation and delivery of quarterly and annual compliance reports and management reporting. Additionally, you will analyze compliance trends and regulatory changes to identify potential risks and opportunities, then implement necessary updates. You will also cross-train and assist in other areas of the broker dealer compliance program and coordinate with operations, legal, and business development teams on compliance matters. Finally, you will lead and contribute to strategic compliance initiatives, demonstrating ownership and driving organizational capability enhancement.

Requirements

Bachelor’s degree in business, finance, or a related field
Minimum of 2-4 years’ relevant experience
Knowledge of securities regulations specifically broker dealer and investment adviser rules.
Knowledge of ETF and private fund structures and regulations a plus.
Demonstrates ability to influence and inspire others toward compliance excellence.
Strong analytical skills and problem-solving abilities with ability to identify trends and strategic opportunities.
Detail-oriented with ability to work in unstructured situations and shift quickly to new tasks when priorities change.
Ability to work effectively across different levels of the organization.
Excellent written and verbal communication skills.
Self-starter; proactive approach to work assignments; willingness to learn and work in a team environment.
Experience with automated compliance solutions for monitoring, regulatory reporting, digital recordkeeping, and real-time surveillance of sales activities.
Ability to work with modern distribution channels, integrate compliance systems with fintech platforms, and leverage data analytics for risk assessment and regulatory reporting.

Nice To Haves

Knowledge of ETF and private fund structures and regulations a plus.

Responsibilities

Administer framework for various aspects of the firm’s limited purpose broker Delaware Distributors, L.P. (“DDLP”) compliance program. Specifically, efforts relating to sales practices, licensing/registration, testing/certification, and continuing education.
Support the maintenance and implementation of broker dealer compliance manuals, policies and procedures.
Work closely with internal business partners to ensure that all broker dealer activities are compliant.
Serve as a trusted advisor for broker dealer matters, fostering open communication and encouraging proactive escalation of concerns.
Perform periodic reviews and compliance testing relating to various broker dealer requirements.
Assist in the creation and delivery of quarterly and annual compliance reports and management reporting.
Analyse compliance trends and regulatory changes to identify potential risks and opportunities then implement necessary updates.
Cross train and assist in other areas of the broker dealer compliance program and coordinate with operations, legal, and business development teams on compliance matters.
Lead and contribute to strategic compliance initiatives, demonstrating ownership and driving organizational capability enhancement.