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Nomura

Analyst, Employee Compliance

Nomura

. Support administration of the NAM International Code of Ethics across the Firm's covered entities in the US, EMEA and Asia ex-Japan .

Posted 9/22/2026full-timePhiladelphia • Pennsylvania • United StatesJunior💰 $70,000 - $80,000 per yearWebsite

Core Competencies

Role fit
Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in compliance administration, particularly in personal trading and employee compliance requirements, while maintaining meticulous records and managing regulatory deadlines. Proficient in utilizing compliance platforms and Microsoft Office tools to support governance and reporting.

Highest-signal resume keywords
Compliance AdministrationPersonal Trading RequirementsMicrosoft Excel SkillsAttention to DetailRegulatory Recordkeeping

ATS Keywords

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Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills
ComplianceAuditOperationsRecordkeepingData ProcessingDocument ReviewRegulatory ReportingPersonal TradingEmployee ComplianceBeneficial Ownership Concepts
Soft Skills
Attention to DetailClear CommunicationSound JudgmentOrganizational SkillsCollaboration
Tools & Technologies
ComplySciFIS/ECMStarComplianceMicrosoft WordMicrosoft OutlookMicrosoft PowerPoint
Industry Keywords
Investment AdviserFund ComplexBroker-DealerFinancial ServicesRule 204A-1Rule 17j-1Rule 204-2Exchange Act Rule 16a-1(a)(2)

About the role

Key responsibilities & impact
  • Support administration of the NAM International Code of Ethics across the Firm's covered entities in the US, EMEA and Asia ex-Japan
  • Support the pre-clearance system and personal trading program, including holdings and transaction reporting, Reportable Account and Approved Broker records, restricted list screening, holding periods and blackout windows
  • Administer Code acknowledgement and annual certification cycles, including distribution, tracking and follow-up with non-responders
  • Maintain access person and covered person lists
  • Onboard new joiners with Code materials and reporting instructions
  • Process role changes and departures
  • Log and track political contributions, gifts and entertainment, outside business activities and interests, and limited offering and private placement approval requests
  • Escalate threshold breaches and exceptions for review
  • Maintain personal trading and Code of Ethics records to support Rule 204-2 and Rule 17j-1 recordkeeping requirements
  • Retrieve records for internal audit and regulatory examinations
  • Produce recurring management information on pre-clearance activity, submission status, exceptions and violation trends to support governance and Fund board reporting
  • Help distribute Code amendments and appendix updates
  • Prepare training materials and coordinate sessions
  • Support system and automation improvements
  • Report to the Code of Ethics and Employee Compliance Lead

Requirements

What you’ll need
  • Bachelor's degree required
  • 1–3 years of experience in compliance, operations, audit or a control function at an investment adviser, fund complex, broker-dealer or other financial services firm; relevant internship experience considered
  • Working knowledge of, or demonstrable interest in, personal trading and employee compliance requirements under Rule 204A-1 of the Advisers Act, Rule 17j-1 of the Investment Company Act, and Rule 204-2 recordkeeping obligations
  • Awareness of beneficial ownership concepts under Exchange Act Rule 16a-1(a)(2) is an advantage
  • Exposure to employee compliance/personal trading platforms such as ComplySci, FIS/ECM, StarCompliance or similar, or proven ability to learn new systems quickly
  • Strong Microsoft Excel skills, plus Word, Outlook and PowerPoint
  • Exceptional attention to detail and accuracy in high-volume data processing, document review and recordkeeping
  • Ability to manage multiple recurring regulatory deadlines independently
  • Clear, professional written and verbal communication skills
  • Sound judgment, discretion and integrity in handling confidential personal financial information and sensitive conduct matters
  • Organized, proactive and collaborative
  • Comfortable working across a small team supporting multiple legal entities and regions (US, EMEA and AEJ)

Benefits

Comp & perks
  • Sign-on bonus
  • Restricted stock units
  • Discretionary awards
  • Medical benefits
  • Financial benefits
  • Other benefits
  • 401(k) eligibility
  • Paid vacation time
  • Paid sick time
  • Paid parental leave