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Operational Risk Assessment Associate/VP
2 months ago
Department: Nomura Fiduciary Research & Co.
Location: New York
The expected salary range for this role at the start of employment is between $100K and $130K/year*
Company Overview
Nomura is a worldwide financial services organization with a cohesive network that spans over 30 countries and regions. By bridging markets in the East and West, Nomura meets the needs of individuals, institutions, corporations, and governments through its three main business divisions: Retail, Wholesale (Global Markets and Investment Banking), and Investment Management. Established in 1925, the firm is founded on a legacy of disciplined entrepreneurship, providing clients with innovative solutions and insightful thought leadership. For further information about Nomura, visit
Aon's Benefit Index indicates that Nomura's benefits rank #1 among our competitors.
Nomura Fiduciary Research & Consulting America, Inc. ("NFRCA") is a Delaware corporation with its primary business operations in New York, New York. NFRCA is wholly owned by Nomura Fiduciary Research & Consulting Co., Ltd. ("NFRC"), which has its headquarters in Tokyo and a branch office in London ("NFRCL").
NFRCA provides NFRC with administrative and fund analysis services on pooled investment vehicles. Additionally, NFRCA performs investment and operational due diligence on investment advisers and/or managers designated by NFRC.
Role Description / Areas of Responsibility
- Conduct initial and annual Operational Due Diligence of hedge fund managers. Assess and generate explicit qualitative ratings for individual funds through qualitative analysis. Specific responsibilities include;
- Requesting and reviewing legal documents, financial statements, and policies and procedures of hedge fund managers.
- Performing regulatory and compliance verification checks.
- Participating in on-site manager visits, manager meetings, and conference calls, and documenting memos/minutes as necessary.
- Drafting standardized structured reports for each manager, including evaluations of key operational areas, trade processes, risk management, compliance, and business continuity planning.
- Conduct quarterly ongoing monitoring of hedge fund managers within our clients' portfolios.
- Assist private equity analysts with their initial due diligence from an Operational Due Diligence perspective.
- Evaluate and generate explicit qualitative ratings for individual funds and/or managers' ESG engagement funds through qualitative analysis.
- Assess specified terms of limited partnership agreements as part of private assets due diligence.
- Monitor changes in regulatory environments, industry practices, and other factors, evaluating their impact on the operational due diligence process.
- Prepare various presentation materials for clients and internal meetings.
- Strong problem-solving and analytical skills, with the ability to effectively articulate concerns/issues.
- Capability to prioritize multiple responsibilities.
- Understanding the impact of daily processes/procedures and their relation to business and risk.
- Effective communication skills, both verbal and written.
- A bachelor's degree, preferably in accounting, finance, or a related field.
- 4+ years of experience related to hedge funds and/or private assets (e.g., auditing, investment or operational analysis, accounting, or back office operations) preferred.
- Fluency in Japanese and proficiency in English at a business level.
- Ability to work independently as well as collaboratively in a team environment.
- Interest in general financial markets.
- Proficiency in Excel and PowerPoint.
If hired, the 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
