Client Regulatory Support and Outreach- Associate - London, United Kingdom - eFinancialCareers

eFinancialCareers

Verified Company

London, United Kingdom

1 week ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

Company overview

Department overview:

The Client Onboarding and Regulatory Outreach teams coordinate the onboarding of all clients in EMEA covering the Global Markets and Investment Banking Sales teams as well as monitoring both Group and Client adherence to global regulatory obligations.

Youwill join an established team, focused on delivering onboarding efficiency, regulatory adherence and exceptional client service. The team sits within Operations' Client Service Group.

Role description:

Manage and resolve regulatory pointoftrade queries from Sales. Regulatory SME review required to ensure; pipeline trades meet regulatory requirements and breaches are avoided

- data discrepancies are investigated and remediated in a timely manner to ensure trades can be booked

Help identify areas for improvement and remediation, and redesign and enhance the Regulatory Control process within Client Onboarding
Monitor Data Quality Control reports and feed in to the governance framework for Onboarding, running the day to day process to ensure that all Clients are Onboarded accurately and in line with applicable regulations
Take an active part in developing and maintaining MIS to track Onboarding performance and accuracy
Collaborate with Corporate and Business milestone owners to evolve the Client Onboarding operating model in response to regulatory change.
Assist in delivering Regulatory Outreach projects including:
Proactive engagement with clients on all upcoming regulatory obligations to ensure timely compliance and mitigate risk of potential disruption to trading
Front to back project scoping, data analysis and remediation, client query management for various smaller outreaches

Key qualities critical for success:

Proven selfstarter with the ability to work independently while supporting the overall goals of the team
Keen eye for detail, methodical and accurate
Ability to work and adapt in an everchanging regulatory and control environment
Ability to articulate key messages through all mediums and escalate potential risks in a timely manner
Thorough understanding of the regulatory environment, ensuring clients are compliant as applicable

Skills, experience, qualifications and knowledge required

Familiarity with industry related directives such as Dodd-Frank, EMIR, MIFID II, SFTR
Project and change management skills
Track record in process enhancement and improvement
Educated to degree level or in the absence of that have appropriate banking experience (510 years)
Knowledge of all major asset classes: equity, fixed income, derivatives and their data characteristics
Ability to navigate complex data and hierarchy structures
Knowledge of ongoing regulatory demands
Excellent communication skills both verbal and written as well as presentation skills
Strategic thinker with strong analytical and problem solving skills
Client oriented, with the ability to communicate at all levels internally and externally

Nomura competencies

Trusted Partner

Understand clients' needs and issues, and respond with highquality proposals
Acquire capabilities to perform one's responsibilities and contribute to being a Trusted Partner

Entrepreneurial leadership

Produce new ideas that might challenge the statusquo or oneself

Teamwork
Collaboration

Seek advice from senior colleagues and utilize it for improved results
Collaborate with members from relevant departments

Influence

Contribute to the success of the organization both quantitatively and qualitatively, and act with awareness of the impact on others
Serve as role model and provide guidance to junior employees

Integrity

Have a good understanding of corporate philosophy, professional ethics, compliance, risk management, and code of conduct, and make decisions and take actions accordingly

Right to Work

Diversity & Inclusion
If you require any assistance or reasonable adjustments due to a disability or long-term health