Job title: Compliance and Anti Financial Crime Officer Corporate Title: Associate Department: Compliance Location: Luxembourg 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 <a href="http://www.nomura.com">www.nomura.com</a> Department Overview Nomura Asset Management (NAM) International is seeking an experienced professional to take the role as Compliance and Anti Financial Crime Officer, supporting EMEA Compliance for our regulated businesses mainly in Luxembourg and Austria. Nomura's Compliance department is at the forefront of maintaining regulatory adherence and ethical standards. Our team works diligently to ensure that our business operations align with industry regulations and internal policies. Join us to contribute to a culture of integrity and help safeguard our clients' trust. The international business brings together a legacy of investing in public and private markets on a global scale. Through active management, we deliver differentiated and innovative solutions across equities, fixed income, multi-asset, and private credit supported by a team of disciplined and tenured investment professionals. Building upon Nomura’s century long heritage, our teams are responsible stewards of clients’ capital. We approach everything we do with accountability, curiosity, and integrity to help clients across wealth and institutional channels navigate an ever-changing market, capture opportunities around the world, and reach long-term investment goals. Role Overview: This is an opportunity to join a growing international asset management business with multiple investment lines, including equities, fixed income, and derivatives. You will report to the NAM International EMEA Chief Compliance Officer and primarily support a regulated MiFID investment firm in Luxembourg and additionally provide compliance oversight to Nomura’s UCITS-licensed management company in Vienna. The role includes acting as MLRO and RC for AML/CTF responsibilities. Key objectives critical to success: <ul> <li style="font-size:10.0pt;font-family:arial, helvetica, sans-serif">Advise on regulatory compliance matters for Luxembourg and Austria entities, including MiFID and UCITS requirements.</li> <li style="font-size:10.0pt;font-family:arial, helvetica, sans-serif">Oversee compliance monitoring, reporting, and escalation processes.</li> <li style="font-size:10.0pt;font-family:arial, helvetica, sans-serif">Act as escalation point for client onboarding, review, and risk assessment of investments.</li> <li style="font-size:10.0pt;font-family:arial, helvetica, sans-serif">Develop and maintain compliance plans, policies, and procedures; monitor adherence and report to boards, committees, and authorities.</li> <li style="font-size:10.0pt;font-family:arial, helvetica, sans-serif">Conduct due diligence and ongoing monitoring of sub-distributors and Compliance outsourced services.</li> <li style="font-size:10.0pt;font-family:arial, helvetica, sans-serif">Review and approve new products and funds, ensuring compliance with local requirements.</li> <li style="font-size:10.0pt;font-family:arial, helvetica, sans-serif">Stay informed on regulatory developments and ensure timely implementation of changes.</li> <li style="font-size:10.0pt;font-family:arial, helvetica, sans-serif">Attend committees and meetings to advise senior management.</li> <li style="font-size:10.0pt;font-family:arial, helvetica, sans-serif">Deliver tailored compliance training programs and support divisional projects.</li> </ul> Skills, experience, qualifications and knowledge required: <ul> <li style="font-size:10.0pt;font-family:arial, helvetica, sans-serif">Significant compliance experience (at least 5 years) within the Luxembourg financial industry (legal, financial crime, or regulatory background considered).</li> <li style="font-size:10.0pt;font-family:arial, helvetica, sans-serif">Strong knowledge of UCITS and MiFID II directives, CSSF rules and AML regulations.</li> <li style="font-size:10.0pt;font-family:arial, helvetica, sans-serif">Familiarity with European regulatory frameworks and EEA jurisdictions.</li> <li style="font-size:10.0pt;font-family:arial, helvetica, sans-serif">Proven ability to work independently, prioritize tasks, and meet deadlines.</li> <li style="font-size:10.0pt;font-family:arial, helvetica, sans-serif">Excellent communication, stakeholder management, and relationship-building skills.</li> <li style="font-size:10.0pt;font-family:arial, helvetica, sans-serif">Pragmatic and commercially minded approach to compliance.</li> <li style="font-size:10.0pt;font-family:arial, helvetica, sans-serif">Fluency in English and German required for effective engagement with Vienna-based operations and stakeholders. </li> </ul> Nomura Leadership Behaviours Explore Insights & Vision <ul> <li style="font-family:arial, helvetica, sans-serif;font-size:10.0pt">Identify the underlying causes of problems faced by you or your team and define a clear vision and direction for the future.</li> </ul> Making Strategic Decisions <ul> <li style="font-family:arial, helvetica, sans-serif;font-size:10.0pt">Evaluate all the options for resolving the problems and effectively prioritize actions or recommendations.</li> </ul> Inspire Entrepreneurship in People <ul> <li style="font-family:arial, helvetica, sans-serif;font-size:10.0pt">Inspire team members through effective communication of ideas and motivate them to actively enhance productivity.</li> </ul> Elevate Organizational Capability <ul> <li style="font-family:arial, helvetica, sans-serif;font-size:10.0pt">Engage proactively in professional development and enhance team productivity through the promotion of knowledge sharing.</li> </ul> Inclusion <ul> <li style="font-family:arial, helvetica, sans-serif;font-size:10.0pt">Respect DEI, foster a culture of psychological safety in the workplace and cultivate a "Risk Culture" (Challenge, Escalate and Respect). </li> </ul> Diversity & Inclusion Nomura is an equal opportunity employer. We value diversity and are committed to ensuring we best reflect the diversity of the communities we serve creating an inclusive environment for all our employees. We welcome all applications and 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. Nomura is an Equal Opportunity Employer

Compliance and Anti Financial Crime Officer - Associate (Luxembourg, LU, L-1840) @ Nomura Holdings, inc.

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