Trading Venue & Platform Governance - Risk Manager - EMEA

Job Title: Trading Venue & Platform Governance - Risk Manager – EMEA

Corporate Title: Vice President

Division: Global Markets          

Location: London, UK        

 

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

 

About the role

 

The Trading Venue & Platforms Governance team operates within the GM eTrading Risk & Controls function, serving as a critical component of the first line of defence in Global Markets at Nomura. This role offers the opportunity to work at the intersection of trading, risk management, and regulatory compliance, ensuring robust governance and control frameworks across our trading venues and execution platforms.

 

Key Responsibilities:

1. Venue and platform onboarding

• Facilitate onboarding of new trading venues and execution platforms, coordinating with cross-functional stakeholders including Trading Desks, Compliance, Legal, Technology, Operations, and Risk Management.
• Conduct comprehensive risk assessments and ensure implementation of adequate controls prior to venue/ platform activation.

2. Governance and oversight

• Maintain the inventory of trading venues and execution platforms and coordinate periodic reviews and annual attestations.
• Present key risks, control developments, and governance updates at relevant forums and committees.
• Partner with trading desks to establish, review, and maintain appropriate size and price limits in external high touch execution platforms e.g. venue GUIs
• Own and manage the Swap Execution Facility (SEF) access request process and associated controls.
• Work closely with Technology to ensure robust access control processes and governance over external high touch execution platforms

3. Control enhancement and innovation

• Lead control enhancement projects – including project to improve data quality, completeness, and accuracy of order data for MiFID record-keeping requirements
• Drive systemisation and optimisation of venue & platform inventories
• Policy and procedural enhancements

4. Venue and regulatory inquiries

• Coordinate responses to venue inquiries, annual due diligence questionnaires, and requests for information.
• Provide subject matter expertise and support for regulatory inquiries, submissions, and internal reviews.

 

Requirements:

• Experience managing or supporting trading venue and platform onboarding and governance processes.
• Strong understanding of electronic trading risk and control frameworks.
• Strong communication skills and ability to engage with all levels of management
• A self-starter with an ability to drive initiatives and collaborate with global counterparts on deliverables.
• Ability to analyse, interpret, re-factor and present complex data-sets. Strong Excel and presentation skills preferable.
• Knowledge of local regulations and key exchange rules relating to electronic trading preferable.
• Track record of sound risk management to reduce operational and conduct risk and facilitate rapid business development.
• Experience in E-Trading, Technology, Compliance, Operational Risk Management, Audit and/or other relevant function preferable.

Nomura Leadership Behaviours

 

• Explore Insights & Vision: Identify the underlying causes of problems faced by you or your team and define a clear vision and direction for the future.
• Making Strategic Decisions: Evaluate all the options for resolving the 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 the promotion of knowledge sharing.
• Inclusion: Respect DEI, foster a culture of inclusion and psychological safety in the workplace and cultivate a "Risk Culture" (Challenge, Escalate and Respect).

 

Diversity & Inclusion 

Nomura is an equal opportunity employer. We value diversity and are committed to creating an inclusive environment for all our employees.

We do not discriminate on the basis of age, disability, gender identity and gender expression, pregnancy and maternity, marriage and civil partnership, race, religion or belief, sex or sexual orientation.

If you require any assistance or reasonable adjustments due to a disability or long-term health condition, please do not hesitate to contact us.

 

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.