Analyst, Employee Compliance

Job Title:

Analyst, Employee Compliance

Corporate Title

: Analyst Department:

NAM International Compliance

Location:

Philadelphia The pay range for this position at commencement of employment is expected to be between $70.000 and $80.000 per year
* (see below footnote for additional compensation and benefits information). Company Overview Nomura is a financial services group with an integrated global network. By connecting markets East & West, we service the needs of individuals, institutions, corporates and governments through our four business divisions: Wealth Management, Investment Management, Wholesale (Global Markets and Investment Banking) and Banking. Driven by the insights of some 28,000 people worldwide, we put our clients at the center of everything we do, delivering unparalleled access to, from, and within Asia. For further information about Nomura, visit Aon’s Benefit Index®, Nomura’s benefits

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amongst our competitors Division Overview: NAM International NAM International brings together a legacy of investing in public and private markets on a global scale. Through active management, we deliver differentiated and innovative solutions across equities, fixed income, multi-asset, and private credit supported by a team of disciplined and tenured investment professionals. Building upon Nomura’s century long heritage, our teams are responsible stewards of clients’ capital. We approach everything we do with accountability, curiosity, and integrity to help clients across wealth and institutional channels navigate an ever-changing market, capture opportunities around the world, and reach long-term investment goals. Role Description: The Employee Compliance Analyst supports administration of the NAM International Code of Ethics, adopted under Rule 204A-1 of the Advisers Act and Rule 17j-1 of the Investment Company Act, across the Firm's covered entities in the US, EMEA and Asia ex-Japan. The role reports to the Code of Ethics and Employee Compliance Lead. Personal trading administration

– Support the pre-clearance system and personal trading program, including holdings and transaction reporting, Reportable Account and Approved Broker records, restricted list screening, holding periods and blackout windows; administer the Code acknowledgement and annual certification cycles, including distribution, tracking and follow-up with non-responders. Access person population

– Maintain the access person and covered person lists, onboard new joiners with Code materials and reporting instructions, and process role changes and departures. Disclosures and approvals

– Log and track political contributions, gifts and entertainment, outside business activities and interests, and limited offering and private placement approval requests, escalating threshold breaches and exceptions for review. Records, reporting and exam readiness

– Maintain personal trading and Code of Ethics records to support Rule 204-2 and Rule 17j-1 recordkeeping requirements; retrieve records for internal audit and regulatory examinations, and produce recurring management information on pre-clearance activity, submission status, exceptions and violation trends to support governance and Fund board reporting. Policy, training and projects

– Help distribute Code amendments and appendix updates, prepare training materials and coordinate sessions, and support system and automation improvements. Skills, experience, qualifications and knowledge required: Bachelor's degree required; 1–3 years of experience in compliance, operations, audit or a control function at an investment adviser, fund complex, broker-dealer or other financial services firm (relevant internship experience considered). Working knowledge of, or demonstrable interest in, personal trading and employee compliance requirements under Rule 204A-1 of the Advisers Act, Rule 17j-1 of the Investment Company Act, and Rule 204-2 recordkeeping obligations; awareness of beneficial ownership concepts under Exchange Act Rule 16a-1(a)(2) is an advantage. Exposure to employee compliance / personal trading platforms (i.e. ComplySci, FIS/ECM, StarCompliance or similar) or a proven ability to learn new systems quickly; strong Microsoft Excel skills, plus Word, Outlook and PowerPoint. Exceptional attention to detail and accuracy in high-volume data processing, document review and recordkeeping, with the discipline to manage multiple recurring regulatory deadlines independently. Clear, professional written and verbal communication skills, with the confidence to follow up with employees at all levels on outstanding submissions and missing information. Sound judgment, discretion and integrity in handling confidential personal financial informati