In this role, you’ll make an impact in the following ways:  Independently contribute to the Wealth Compliance program, ensuring alignment with applicable OCC, Consumer banking, SEC, and FINRA regulations, as well as internal risk management and governance frameworks. Strong partnership capabilities with business and functional leaders to address regulatory, audit, and examination findings. The candidate must be comfortable hosting discussions and leading presentations with a senior management audience. Partner with business leaders to assess compliance implications of new products, activities and services, including advising on the development of relevant controls and ongoing monitoring frameworks.  Demonstrated ability to design and implement monitoring, testing, and risk assessment programs across complex and evolving business models. Provide oversight of the compliance frameworks, including policies, procedures, monitoring, testing, issue management, and reporting....

Corporate Title: Vice President Department: Legal Location: New York- midtown (Hybrid) The base pay range for this position at commencement of employment is expected to be between $175K and $225K/year* (see below footnote for additional compensation and benefits information).    Company overview Nomura is a global financial services group with an integrated network spanning over 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Retail, Wholesale (Global Markets and Investment Banking), and Investment Management. 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 .   Aon’s Benefit Index ® , Nomura’s...

About the Role iCapital is looking to hire a Compliance Officer to oversee the relevant investment advisers supporting the Exchange-Traded Funds (ETF) and 1940 Act Registered Funds businesses. This individual will also be responsible for assisting and/or leading the implementation and administration of compliance programs for the firm’s SEC Registered Investment Advisers, NFA and CFTC registered Commodity Pools, and other compliance-related activities as they relate to these products or entities.  Responsibilities Maintain expert knowledge of regulations applicable to ETFs and 1940 Act Registered Funds and their investment advisers, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and Rule 6c‑ Monitor and advise on regulatory developments affecting ETFs, including derivatives, valuation, liquidity, and related rulemaking. Design, implement, and maintain compliance programs under Rule 206(4)‑7 and Rule 38a‑1 for ’40 Act trusts,...