Global Markets Legal Entity Oversight, Vice President

Job Title: Global Markets Legal Entity Oversight, Vice President Job Code: 11962 Country: FR City: Paris Skill Category: Global Markets Company overview Nomura is a global financial services group with an integrated network spanning approximately 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Wealth Management, Investment 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 Nomura's Global Markets (GM) Division handles client transactions for financial institutions, corporates, governments and investment funds around the world. We act as market makers, trading in fixed income and equity securities, including currencies, interest rates and credit in cash, derivatives and structured products. We have taken market-leading positions across the globe by leveraging the strength of our talent, client relationships and technology. By developing strong relationships with our client base through consistent interaction, independent advice and pre‑eminent access to Asia, we have built a powerful global franchise across interest rates, currency and credit products. Our client services cover both high-volume flow products and carefully tailored structured solutions. We have adapted to the changing financial landscape to build a client‑centric focus differentiated by innovation, electronic and service excellence and market-leading derivatives capabilities. Role description This role resides in our European entity Nomura Financial Products Europe (NFPE), which is our European‑based trading entity with Trading and Sales teams across Europe. The role is located in Paris within NFPE. Responsibilities GM Legal Entity Frameworks Ensuring adherence to regional legal entity and control procedures, whilst maintaining global consistency of approach where appropriate. Supporting delivery of Global Markets front‑office requirements as defined within the overall COO and Entity Business plans. Supporting the wider GM Entity Control Team across various process requirements. Supporting embeddedness of Legal Entity frameworks across the European entities with direct engagement, training programs, regular updates and targeted communication plans. Ensuring associated entity policies and Front‑office procedures are continually reviewed and kept up to date. Monitoring key control indicators, risk and performance metrics and activity dashboards to oversee the activity in the entity. Working closely with GM EMEA and NFPE management to ensure remediation plans are created and resources aligned to address control weaknesses identified through Front‑Office Control Teams, Audit reviews, RCSA, Compliance reviews and monitoring, Operational Risk assessments or risk events. Independently assessing, overseeing and challenging the effectiveness of the first line of controls and behaviours. Ensuring prompt escalation of issues by Front‑office to relevant control functions. Ensuring local/regional supervision infrastructures remain compliant with regulatory and statutory requirements while supporting the establishment of global minimum standards for Nomura. Oversight of Algo frameworks used by Global Markets into NFPE. Acting as the first‑line responsible team to manage global activities conducted into NFPE via Outsourcing. Front Office Operational Risk activities Coordinating NFPE GM RCSA process, ensuring correct prioritisation, participation, frequency and challenge of outputs. Analyzing front‑office risk indicators/content (key risk indicators, Outsourcing Performance metrics, RCSA and Operational Risk Assessments) to identify trends or areas of potential heightened operational risk and escalating as necessary. Monitoring Operational Risk Events and tracking timely closure across the business. External & Internal Audit Issue Management Monitoring ongoing Global Markets Audit reviews, engaging Internal Audit in constructive dialogue throughout planning, fieldwork and finalisation. Focusing on timely closure of Audit issues across the business and escalating to business leads as needed. Working closely with GM business leads and supervisors to ensure issues have clear risk articulation, achievable remediation plans, and resources aligned to address control weaknesses. Culture & Conduct Risk Ensuring conduct risk messages are understood and disseminated throughout the business. Being proactive in gathering details and opinions on conduct breaches raised. Regulatory Initiatives Working closely with business leads, supervisors and key control functions to implement new regulatory requirements with an impact on operational risk & control. Facilitating project management in line with project requirements where applicable. Contributing to the design of control frameworks to integrate into BAU. People Developing partnerships across Corporate teams, especially Compliance, Algo Risk and Legal in NFPE. NFPE Governance and Controls Supporting GM governance, procedures and controls that support NFPE activities. Maintaining schedule and updates of NFPE GM Procedures. Managing the Outsourcing Frameworks for NFPE, ensuring timely MI and monthly reports. Supporting the GM Head of NFPE in Key Risk Indicator meetings and in managing global GM NFPE risks and issues. Performing GM oversight over NFPE GM AP Population to review new AP requests and ensure alignment with strategy. Keeping frameworks to oversee the AP population within strategy and conducting required activity reviews. Partnering with key Banking, GM and Corporate leads to deliver a compliant and effective business control environment. Reporting Lines The role functionally reports to the local NFPE Lead representing the entity for Global Markets. Functionally to the Global Markets Legal Entity Oversight in London/Paris. Requirements Experience in a first‑line risk/control role or similar, such as Operational Risk Management, internal control, or a Corporate/Risk function SME. Understanding of Non‑Financial Risk and Controls, including identification, assessment, management and monitoring of Non‑Financial Risks. Strong capabilities to employ generative AI to build sustainable business solutions. Excellent influencing and coordination skills to manage stakeholders across multiple regions and functions. Strong written and verbal communication skills, able to articulate complex issues succinctly to multiple stakeholders. General understanding of investment banking products and services, including key trading, sales, and origination processes and associated controls. Ability to remain objective while providing advice and support to relevant business areas and senior management. Nomura competencies Explore Insights & Vision Identify underlying causes of problems and define a clear vision and direction for the future. Making Strategic Decisions Evaluate all options for resolving 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 knowledge sharing. Inclusion Respect DEI, foster a culture of psychological safety in the workplace and cultivate a “Risk Culture” (Challenge, Escalate and Respect). Diversity Statement Nomura is committed to an employment policy of equal opportunities, and is fundamentally opposed to any less favourable treatment accorded to existing or potential members of staff on the grounds of race, creed, colour, nationality, disability, marital status, pregnancy, gender or sexual orientation. DISCLAIMER: This Job Description is for reference only, and whilst this is intended to be an accurate reflection of the current job, it is not necessarily an exhaustive list of all responsibilities, duties, skills, efforts, requirements or working conditions associated with the job. The management reserves the right to revise the job and may, at his or her discretion, assign or reassign duties and responsibilities to this job at any time. Nomura is an Equal Opportunity Employer #J-18808-Ljbffr