Conduct & Culture Manager

Recruiter
Nomura
Location
London, United Kingdom
Salary
Negotiable
Posted
11 May 2022
Closes
10 Jun 2022
Ref
14860609
Job Function
Banking
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors

Company overview

Nomura is an Asia-based financial services group with an integrated global network spanning over 30 countries. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Retail, Asset Management, and Wholesale (Global Markets and Investment Banking). 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 www.nomura.com


Department overview:

Conduct & Culture is a key focus area for NEHS and is vital to the successful delivery of the firm's strategy. The EMEA Conduct & Culture team, has responsibility for the oversight, development and embedding of Conduct & Culture for the region, including:

* Designing, developing and embedding an appropriate conduct and culture framework and ensuring that the necessary oversight is in place;
* Overseeing the breach management lifecycle to ensure consistent application of the NEHS Breach Management Framework;
* Overseeing and reviewing matters and initiatives relating to the embedding of the FCA Conduct Rules, Nomura's Founding Principles, Values and Code of Conduct;
* Advising senior management around the conduct and culture agenda including regulatory expectations, industry practice and emerging conduct risk for Nomura


Role description:

To support delivery of these priorities, the Conduct & Culture Manager (Executive Director) role will involve:
* Developing a close working relationship with key stakeholders across all departments and providing ongoing communication of key Conduct and Culture developments and requirements. This includes, Board members, Exec members and other Senior Management Function (SMF) owners.
* As required facing off to external stakeholders (E.g. external auditors and regulators)
* Taking ownership of and/or providing direct oversight of the delivery of key business reports (tailored / value add reporting tailored to suit audience)
* Developing specific aspects of the Conduct and Culture framework as required
* Supporting the NEHS Conduct and Culture Head in the performance of their responsibilities
* Providing support and challenge to key business stakeholders in their development and maintenance of Conduct and Culture; including oversight of top and emerging conduct risks, breach management oversight and the embedding of culture initiatives
* Using internal and external data sources to identify key trends, issues and other insights requiring further investigation and following up with the 1st line stakeholders as appropriate
* Overseeing the delivery of overarching region wide Conduct and Culture initiatives
* Observing and challenging Conduct and Culture Embeddedness in the 1st line

Key objectives critical to success:
* Primary support for the senior stakeholders in NEHS
* Providing independent insight to the 1LOD on Conduct and Culture challenges
* Developing, disseminating communications and working with the 1LoD to raise awareness of conduct and culture
* Actively contributing to the regional and global framework development
* Observing trends and analysing internal and external data to provide value-add observations and recommendations directly to senior management and/or for inclusion in Exec and Board reporting


Skills, experience, qualifications and knowledge required

Candidates for the position should have:
* Track record of building relationships and advising senior management (financial or non-financial)
* Extensive experience in Conduct and Culture or related functions in financial services institutions
* An in depth understanding of the role of Conduct and Culture
* Have experience and understanding of the components of a Conduct and Culture framework and their inter relationships
* Display commercial awareness and an understanding of key business priorities
* Good communication and presentational skills
* Proactive, self-starter who can work effectively across a wide range of stakeholder groups
* Good team player who can collaborate well with colleagues within the Compliance team and others in different business divisions
* Ability to distil large quantities of complex information into high level briefings and impact analysis
* Communicate advice/guidance in a clear and concise manner
* Ability to work well under pressure and move between tasks quickly

Desirable but non-essential attributes:
* Track record of liaising with external audit and regulators
* Consulting experience is desirable but not essential
* People Management experience preferred

Right to Work
The UK Government have taken steps to reduce net migration to the UK by limiting the number of overseas workers coming to the UK for employment. Please note that whilst we are able to consider applications from overseas workers from outside the UK (who require a Tier 2 Skilled Worker visa) we can only employ them if we can provide evidence that this is a genuine vacancy for a qualified role
Please contact us if you are visiting our offices and require any form of personal assistance or physical adaptations to be provided for your appointment. A member of staff will be happy to help.

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