Investment Banking Risk

**Job title: Investment Banking Risk & Controls Associate**
**Corporate Title: Associate**
**Division / Department: Investment Banking Division**
**Location: Zurich, Switzerland**

**Nomura Overview**

This role resides in our Investment Banking Division (IBD) COO team, focused on the Greentech Industrials and Infrastructure EMEA Sector team, and the IBD Risk and Control team, focused on Nomura Financial Products Europe (NFPE) and is based in Switzerland.

**Responsibilities**

IBD Risk & Control:

- Support the implementation of the entity control frameworks for NFPE, measure adherence to the frameworks through monthly MI processes, establishment of FAQs and coordination of activity reviews.
- Support bankers at the local rep. Office and provide constructive challenges and collaboration on risk matters; additionally, provide expert advice and feedback on risk issues.
- Prepare management presentations including risk assessments in collaboration with internal stakeholders.
- Ownership of the Authorised Banker process for NFPE Rep. Office.
- Ownership and execution of the Banking Control Framework for the Zurich Rep. Office, including required review of controls, production and validation of the MI and providing the reporting to the IBD, EMEA and NFPE governance committees.
- Operational Risk Coordinator and Outsourcing support for NFPE Investment Banking
- Coordination for IB initiatives in NFPE to ensure the IB business transacted through NFPE runs smoothly and issues are addressed as they arise, in close collaboration with corporate functions in Europe and stakeholders in the UK Responsible for interaction with NFPE Control Functions, remediation of audit points and operational risk matters.
- Outsourcing Officer delegate for the Rep. Office. Oversight and management of the firms service providers ensuring adherence to the internal outsourcing frameworks and standards.Attend relevant risk and control governance forums and committees to represent the rep. office.
- Support and feed into the Rep. Office and IBD RCSA (Risk Control Self Assessments) process, ensuring correct prioritisation, participation, frequency and challenge of outputs. Where necessary work closely with relevant business leads and supervisors to prioritise remediation of control weaknesses. Own the NPFE Operational Risk Frameworks for NFPE Zurich Rep. Office (RCSA, Scenarios, etc.).
- NFPE Op Risk Scenarios - support and input to NFPE operational risk scenarios to ensure that the scenarios are realistic, appropriately aligned with the entity business activities and scale.
- 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 where necessary escalate to senior management.
- Monitoring of Operational Risk Events and tracking timely closure across the business and escalation where necessary.
- Develop working relationships with colleagues across the Wholesale Control Office and EMEA IBD COO to coordinate and collaborate on existing and emerging risks, trends and initiatives, which are relevant to the entity.

**External & Internal Audit Issue Management**:

- Oversight, Engagement and Monitoring of on-going internal and external audit reviews, engaging IA in constructive dialogue, in the planning, fieldwork and finalisation and subsequent remediation of audit findings.
- Working closely with IBD business leads and supervisors and Wholesale COO to ensure issues have a clear risk articulation, achievable remediation plans, and where necessary resources aligned to address control weaknesses identified.

**Conduct Risk**:

- Taking an active role supporting business management in the regular review of entity KPIs and KRIs and dashboards as far as applicable and work with business management and relevant control functions to respond to identified conduct issues.

**Regulatory Initiatives**:

- Working closely with business leads, entity heads, COOs and key control functions - including Middle Office, Compliance and Operational Risk - to ensure the effective regional implementation of new regulatory requirements with an impact on operational risk & control.
- Where applicable, facilitating establishment of governance and project management in line with project requirements.
- Contributing to the design of the required IBD control frameworks to facilitate embedding in BAU environment of the Rep. Office.

**Business Management**
- Support IBD and Wholesale COO team with business management tasks, as required, including:

- Salesforce Management for the Rep. Office
- Float staffing report
- Deal Announcement and Deal Close process

**Requirements**:

- At least 5 years in Supervision, Regulatory Change, Operational Risk Management, Internal control function, or in a Corporate/Risk function as an SME in a relevant area.
- A good understanding of European regulatory and supervision stand