The pay range for this position at commencement of employment is expected to be between $270,000 and
$320,000/year*
Department 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:
- Legal team of regulatory attorneys supporting Americas Wholesale division. Team handles broker-dealer regulatory matters, swap dealer regulatory matters, and futures commission merchant regulatory matters, including exams, inquiries and investigations. Team also provides regulatory advice to business partners.
Role description:
- Provide project leadership on CFTC NFA, FINRA and SEC regulatory and enforcement matters.
- Build relationships with regulatory authorities, respond to regulatory requests and examinations, and manage regulatory obligations.
- Provide creative, practical legal advice to business partners on a wide range of matters.
- Work effectively and in partnership with legal and compliance colleagues, as well as colleagues throughout the firm.
- Provide regulatory advice and guidance regarding new products and services.
- Role is mostly remote.
Skills, experience, qualifications and knowledge required:
- Juris Doctor (U.S.); Must be licensed to practice law and be a member in good standing in New York.
- Financial regulatory experience at a law firm or a financial firm is required; experience at a self-regulatory organization or a government agency a plus. Ideally, candidate will have a minimum of 7-10 years regulatory legal experience.
- Strong knowledge of and experience with the CFTC and NFA rules and regulations.
- Familiarity with SEC and FINRA rules and regulations.
- Knowledge of the fixed-income markets, especially swaps.
- Self-motivated, team player with the ability to be flexible and adaptable in a fast-paced environment.
- Detail-oriented with a keen awareness of legal issues in regulatory matters.
- Excellent written and oral communication skills, interpersonal skills, and presentation skills.
- Strong organizational skills, ability to work independently and respond proactively.
- Ability to identify problems and take appropriate actions to resolve issues.
*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