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Nomura - New York, NY
posted about 1 month ago
About the position
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. The candidate would be a member of a 2 person team working in a fast paced environment with responsibilities and functions across a Broker Dealer, Swap Dealer and Futures Commission Merchant performing various reporting functions and tasks while interacting with Operations, Compliance, Legal IT and Finance staff locally and globally. This individual would apply and acquire product knowledge and experience with new products and business activity in the expanding regulatory reporting space, and oversight some of the functions within the team.
Responsibilities
- Oversight on Ownership and Control Reporting (OCR) to the CFTC and futures exchanges for the FCM
- Customer asset possession and control reporting including deficit monitoring, FINRA Form Custody filings (review and submission in FINRA Gateway), and NSI Schedule I
- Review Broker dealer short interest position reporting (Domestic and Foreign), and other new regulatory reporting
- Monitor daily exceptions for CAT Transaction Reporting and LOPR
- Support Ad hoc trade inquiries from the Compliance department including Corporate Bond Blue Sheets, 4G requests and provide support for internal and external audit requests and regulatory exams
- Extensive communication and liaising with cross functional teams like Settlements, Middle Offices, Operations Management as well as compliance Legal, Finance, IT and Internal Audit
Requirements
- 5+ years Securities Industry Operations with strong communication and analytical skills
- Somewhat regulatory reporting background and familiarity with CFTC, SEC, FINRA and Exchange rules and regulations, OTC Derivatives, Securities, OTC Options and Listed Option knowledge and industry best practices
- Understanding of Middle office / Settlements and Trade life cycle processes
- Proficient in Microsoft Office including MS Word, Excel and PowerPoint
- Extremely good attention to details and willing to learn more and be a team player
Nice-to-haves
- Series 99 or equivalent preferred
Benefits
- Ranked #1 in benefits amongst competitors according to Aon's Benefit Index
