Global Markets Legal Entity Oversight, Vice President

Global Markets Legal Entity Oversight, Vice President Job Title: Global Markets Legal Entity Oversight Corporate Title: Vice President Department: Global Markets Location: Paris 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. This role resides in our European entity Nomura Financial Products Europe (NFPE), the 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 and 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, where necessary, 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 relevant regulatory and statutory requirements at all times while supporting the establishment of global minimum standards for Nomura. Oversight of Algo frameworks used by Global Markets in NFPE. Outsourcing – Act as the 1st Line responsible team to manage the global activity being conducted into NFPE via Outsourcing. Coordinating NFPE GM RCSA (Risk Control Self‑Assessments) process, ensuring correct prioritisation, participation, frequency and challenge of outputs. Working closely with relevant business leads and supervisors to prioritise remediation of control weaknesses. Analysing front‑office risk indicators / data points (key risk indicators, Outsourcing Performance metrics, RCSA and Operational Risk Assessments) to identify trends or areas of potential heightened operational risk and escalating to senior management where necessary. Monitoring Operational Risk Events and tracking timely closure across the business and escalation where necessary. External & Internal Audit Issue Management: Monitoring on‑going Global Markets Audit reviews, engaging IA in constructive dialogue during planning, fieldwork and finalisation of audit findings. Ensuring timely closure of Audit issues across the business and escalating to business leads where necessary. Working closely with GM business leads and supervisors to ensure issues have a clear risk articulation, achievable remediation plans and correct resource alignment. Culture & Conduct Risk: Ensuring key conduct risk messages are understood and disseminated throughout the business. Proactively gathering detail and opinions on conduct breaches raised. Regulatory Initiatives: Working closely with business leads, supervisors and key control functions – including Middle Office, Compliance and Operational Risk – to ensure effective regional implementation of new global and regional regulatory requirements impacting operational risk & control. Facilitating project management in line with project requirements where applicable. Contributing to the design of GM control frameworks to facilitate embedding in BAU environment. People: Develop partnerships across Corporate teams, in particular Compliance, Algo Risk and Legal in NFPE. NFPE Governance and Controls: Support GM governance, procedures and controls, which support NFPE activities. Maintain the schedule and regular updates of the NFPE GM Procedures. Manage the Outsourcing Frameworks for NFPE ensuring timely MI and monthly reporting. Support the GM Head of NFPE in Key Risk Indicator meetings and the identification/management of global GM NFPE risks and issues. Perform GM oversight over the NFPE GM AP Population, reviewing new AP requests for appropriateness and alignment with strategy. Maintain frameworks to oversee that the AP population remains within strategy and that activity reviews are conducted as required. Partner 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 who represents the entity for Global Markets. Functions into Global Markets Legal Entity Oversight in London/Paris. Requirements Experience in a 1st line risk / control role or other relevant function, including Operational Risk Management, an internal control function, or in a Corporate/Risk function as an SME in a relevant area. Sufficient understanding of Non‑Financial Risk and Controls including approaches to the identification, assessment, management and monitoring of Non‑Financial Risks. Strong capabilities to employ generative AI to build sustainable business solutions. Strong influencing and coordination skills to manage stakeholders across multiple regions and functions to achieve meaningful control improvements. Sufficient written and verbal communication skills and the ability to clearly articulate complex issues in a succinct manner to multiple stakeholders. A general understanding of investment banking products and services, including key trading, sales and origination processes and associated controls. An ability to remain objective while providing advice and support to relevant business areas and senior management. Seniority level Mid‑Senior level Employment type Full‑time Job function Finance Industries Banking, Capital Markets, and Financial Services Referrals increase your chances of interviewing at Nomura by 2x. #J-18808-Ljbffr