Regulatory Reporting Associate

Corporate Title: Associate

Department: Operations

Location: New York

The pay range for this position at commencement of employment is expected to be between $95K and $115K/year* (see below footnote for additional compensation and benefits information).

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

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

Department overview:

The Operations Control Quality Assurance Team is part of the Operations Control Group responsible for FED 2004 Primary Dealer Reporting and Operations related FOCUS Reporting.

Overview:

This position will be part of our Operations Control Quality Assurance (QA) Team reporting into the Operations Control Group. The team is responsible for FED 2004 Primary Dealer Reporting, Operations Balance Sheet Account Attestation Reporting, Operations MIS Analysis, Operations related FOCUS Reporting (15c3-1 & 15c3-3). Team members will be exposed to a variety of responsibilities. Flexibility and the ability to multi-task are essential. This is an excellent opportunity for an individual who is looking for hands-on experience within a professional, corporate culture. This position will report to the QA Manager and will primarily support the U.S. Operations business.

Responsibilities:

• Support the FED 2004 Primary Dealer Reporting process including the Daily, Weekly and Monthly FR2004 Primary Government Securities Dealers Reports.
• Work with the various Middle Office and Shared Services Operations teams to provide commentary and analysis on the U.S Operations Weekly MIS decks.
• Coordinate with Finance to analyze the monthly 15c3-1 FOCUS filing and weekly 15c3-3 Customer Reserve Computation to ensure all Operations data is accurate and all balances are explained appropriately.
• Prepare the monthly Operations Balance Sheet Account Attestation Reports and analyze the results to ensure all accounts are assigned appropriately, attested to accurately and timely with appropriate supporting documentation.

Skills, experience, qualifications and knowledge required:

• BA in Accounting or Finance or related field
• 4+ years of related experience, preferably in the finance or accounting industry
• Proficient in Microsoft Office including MS Word, Excel and PowerPoint
• Experience in FED or other types of regulatory reporting a plus
• Strong communication skills, both written and verbal.
• Strong problem-solving and analytical skills.
• Team player, able to work well with all levels of the firm, as well as with outside professionals

Nomura Leadership Behaviors

Explore Insights & Vision

• Identify the underlying causes of problems faced by you or your team and define a clear vision and direction for the future.

Making Strategic Decisions

• Evaluate all the options for resolving the problems and effectively prioritize actions or recommendations.

Inspire Entrepreneurship in People

• Inspire team members through effective communication of ideas and motivate them to actively enhance productivity.

Elevate Organizational Capability

• Engage proactively in professional development and enhance team productivity through the promotion of knowledge sharing.

Inclusion

• Foster a culture of inclusion and psychological safety in the workplace and cultivate a "Risk Culture" (Challenge, Escalate and Respect).

*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. The total compensation package for this position may also include other elements, including a sign-on bonus, restricted stock units, and discretionary awards in addition to a full range of medical, financial, and/or other benefits (including 401(k) eligibility and various paid time off benefits, such as vacation, sick time, and parental leave), dependent on the position offered. Details of participation in these benefit plans will be provided if an employee receives an offer of employment.

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