Senior Compliance Officer - Public Side Advisory - Executive Director

Role Description

The Advisory Compliance team serves as a regulatory advisory function and is responsible for overseeing the management of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various committees such as the New Product, Underwriting, Risk Management, Compliance, and Training committees. 
 

The Senior Compliance Officer role may manage a coverage area or process with a large amount of independence. Incumbents are typically referred to as technical experts and known internally and externally as a reliable, knowledgeable resource. Incumbents may develop and exercise business plans, policies and procedures, as well as oversees various assigned projects to improve efficiencies. Individuals at this level have a clear understanding of the firm's different businesses and the related economics.  Primary focus of role is on day-to-day advisory and monitoring, although roles also contribute to strategic planning within area of expertise.       

Role Objectives

Responsible for providing regulatory and compliance advice to business units, identify and provide training and conduct monitoring of the broker dealers public side sales and trading groups with a focus on all Fixed Income activities including Primary Dealer. 
 

• Provides advice on regulatory and compliance requirements to business unit management and staff so that they may conduct their business in conformance with regulatory requirements. 
• Advises and provides regulatory guidance on establishing a reasonably designed supervisory system including to create and update written supervisory procedures. 
• Conducts monthly meetings with business unit management to pro-actively identify emerging business issues and discuss related or new regulatory requirements. 
• Proactively engages with Compliance, Legal and control function colleagues to enhance the overall Compliance program. 
• Escalates regulatory concerns and other significant matters to their manager.
• Interfaces with regulators and Internal Audit during compliance related examinations / audits related to coverage area. 
• Research and drafts responses to regulatory inquiries. 
• Advises business units on the maintenance of their policies and procedures with focus on current compliance framework as reference point. 
• Coordinate and co-work with affiliates to address cross border issues, reporting requests and special projects. 
• Seeks operational efficiencies and automation of processes to reduce risk of manual processes. 
• Provides training to covered business units. 
• Draft and update existing policies and procedures.
• Leads / Contributes to various reporting requirements and other ad hoc investigations. 
• Work with Global Advisory team and other legal entities in the Americas to lead a coordinated effort throughout the organization.
• Collaborates closely with Compliance team and other supports units to help create and maintain best practice across the Firm.

Qualifications and Skills

Critical Job Knowledge and Core Competencies/Skills: 
 

• Extensive Compliance Advisory experience at a broker dealer.
• Strong knowledge in US securities laws, rules and regulations and broker dealer operations including Primary Dealer. 
• Ability to communicate this knowledge and applicability to Nikko and affiliate operations. 
• Understanding of the products, services and business of Nikko and affiliates. 
• Ability to manage multiple assignments and build consensus among stakeholders’ communication skills among other attributes. 
• Must be well organized with prioritization and project management skills on a global scale.
• Ability to translate technical subject matter and convey it in easily understandable components for the clients. 
• Attention to detail and discipline to follow up on issues until resolved.
• Ability to translate technical subject matter and convey it in easily understandable components for the clients.
• Ability to manage multiple assignments and build consensus among stakeholders communication skills among other attributes.
• Attention to detail and discipline to follow up on issues until resolved.
• Must be well organized with project management skills.
• 10+ years of regulatory compliance experience at a broker dealer. BA/BS required. Series 7, 24, 79 a plus. 

Additional Requirements

D&I Commitment

Responsible for fostering a culture of diversity and inclusion, holding leaders accountable for creating an inclusive environment through awareness and practice of equity in recruiting, developing, and promoting diverse talent.

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