Job Title:  Head of European Disclosures

 

Overview:

Nomura is a leading financial services group and the pre-eminent independent investment bank with worldwide reach. Backed by a strong balance sheet, we offer unrivalled asset raising abilities and have a proven record of delivering value for our clients.

We offer a broad range of innovative services tailored to the specific requirements of individual, institutional, corporate and government clients. In many cases our pioneering spirit creates new and differentiated solutions, but always with the reassurance that this is underpinned by a global intelligence network, knowledge and depth of experience in the financial markets.

Based in Tokyo and with regional headquarters in London, Hong Kong and New York, we have offices in over 30 countries and employ more than 25,000 people worldwide. In October 2008 we acquired the Lehman Brothers franchise in Asia as well as its equities and investment banking businesses in Europe and the Middle East. Our combined businesses make us a leader in global investment banking.

Department Overview:

 

As the Head of the European Disclosures team you will provide pro-active hands-on leadership and focus to the European Disclosures team as well as having management responsibility for the 3 – 4 individuals that make up the European disclosures team.  a member of the Control Room you will be part of the team responsible for meeting the Firm’s Takeover Panel disclosure obligations, internal disclosure reporting (specifically Hong Kong and Tokyo) and Significant Position Disclosure requirements throughout Europe and the Middle East.

 

 

Duties & Responsibilities:

·      Provide pro-active hands-on leadership and involvement to the European Disclosures team’s activities including:

o   Completion of  UK Takeover Panel and European equivalents disclosures

o   Monitoring for and filing of significant position disclosures across all EMEA countries

o   Preparation of the daily significant position disclosure reports to Nomura regional offices (primarily Tokyo and Hong Kong)

o   Compilation of position information for the Investment Banking Division as required for takeover offer documents, Rule 2.5 announcements etc.

·      To respond promptly to enquiries from regulators, Takeover Panel and the front office, providing pro-active advice to the front office in respect of the disclosure requirements throughout EMEA

·      Play a key role in the design specification and testing of subsequent enhancement releases to the firm’s position reporting system

·      Maintain the firm’s relevant Takeover Panel exemptions/status, building a strong working relationship with the Regulator

·      Build strong working relationships with the global Nomura Compliance Disclosures teams, representing EMEA interests in the Global Disclosures project etc.

·      To keep abreast of the regulatory developments and to implement changes in response to new or revised reporting requirements

·      Work closely with other risk and control functions to facilitate cohesive control environment for the disclosures function

·      Report to senior management on cause, effect and proposed resolution of Compliance breaches or issues, and oversee the resolution, of issues raised

·      Participate in internal and  external enquiries investigations

·      Develop and  maintain relationships with regulators, responding to regulatory enquiries relevant to the Disclosures function

·      Interpret regulatory consultation or discussion papers, advise senior management of their contact and impact on the EMEA business

·      Participate in EU regulatory policy development through interaction with trade associations or directly with regulators

 

Knowledge, Skill, Experience Required:

·       Compliance/ Disclosures experience preferably within an investment banking or equity capital markets environment or at an Exchange or regulator

·      Practical experience of the application of European (including Takeover Panel) and Middle East disclosure rules together with a general knowledge of significant positions disclosure requirements globally.    

·      Working knowledge of a broad range of financial instruments, including derivatives and the markets in which they are traded

·      Methodical with excellent attention to detail and a strong approach to problem solving

·      Ability to identify issues and know when to escalate them

·      Ability to work to very short deadlines and make quick and reasoned decisions

·      Excellent interpersonal skills, motivated and organized, team player, but able to operate under their own initiative

Highly competent in Excel and Word with experience of trading systems / databases  

 

 

 

 

 

 

 

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