The pay range for this position at commencement of employment is expected to be between $95K and $135K/year*

Company overview

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. For further information about Nomura, visit www.nomura.com.

Aon's Benefit Index , Nomura's benefits rank #1 amongst our competitors

Department Overview:

Nomura Asset Management U.S.A. Inc. ("NAM-USA") is an investment adviser registered with the U.S. Securities and Exchange Commission. NAM-USA's Compliance Department is responsible for implementing, monitoring and testing the compliance program for NAM-USA as well as for several affiliated U.S. investment advisory firms.

The strategies we cover currently include fixed income, equity, and derivatives.

Our firms manage assets for US and foreign institutional separate accounts, private funds, registered investment companies and other types of collective investment vehicles.

Responsibilities:

COE

• Manage the Code of Ethics program.
• Identify and document breaches and create and deliver violation notices.
• Administrator the firms' personal trading application ("PTCC").
• Ensure initial, quarterly and annual certifications are delivered and reviewed.
• Manage transition to another personal trading application.
• Provide Initial and Annual Compliance Training on COE.
• Review and analyze employee personal trading, outside business activities and outside business interests, gifts and entertainment log and political contribution and activities logs for conflicts and risks.
• Responsible for ensuring required records are kept and periodically reviewed.
• Provide monthly reporting on above mentioned activity.

REG

• Assist compliance officer with preparation and distribution of Form ADV.
• Perform monitoring and verification tests.
• Conduct annual compliance program testing.
• Prepare monthly statistics and reports.

Qualifications

• 2-3 years asset management compliance experience.
• Strong knowledge of the Investment Advisers Act of 1940.
• Prior experience with monitoring and testing policies and procedures.
• Prior experience performing surveillance activities.
• Flexibility to work well with a team.
• Proven capability in analyzing complex data, evaluating information and drawing logical conclusions.
• Strong Excel skills.

• base pay offered may vary depending on multiple individualized factors, including market location, corporate and functional title and duties, job-related knowledge and advanced degrees, skills, and experience.

If hired, employee will be in an "at-will position" and the Company reserves the right to modify base salary (as well as any other discretionary payment or compensation program) at any time, including for reasons related to individual performance, Company or individual department/team performance, and market factors".

Nomura is an Equal Opportunity Employer