Company overview
Nomura is an Asia-based financial services group with an integrated global network spanning over 30 countries. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Retail, Asset 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
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The Central Compliance team apply specialist knowledge to support management of compliance risk regionally, through applicable controls, training, policies and procedures on a cross-divisional basis. The activities of the Central Compliance team include Conduct Risk Management, Compliance Risk Assessment/Testing, Infrastructure compliance advisory, and the management of Compliance Policies, Standards and Reporting.
The SG Country Compliance team apply specialist local regulatory knowledge to support management of compliance risk arising at a country level. They maintain local registrations and licenses and maintain relationships with key local financial regulators, acting as a primary contact point for regulatory notifications, enquiries, inspections and investigations.
Key Responsibilities
The Compliance Officer will report to the Regional Conduct Risk Officer and will provide support across various ongoing run the bank and change the bank initiatives in relation to Country Compliance (Singapore) and Central Compliance (particularly the Regional Conduct Office and Compliance Testing) as directed by the Regional Conduct Risk Officer or the Head of Central Compliance Asia.
Key focus areas include:
Country Compliance (SG)
- Serve as a point of contact for regulatory licensing matters of representatives in Singapore, and work closely with team members to ensure all conditions and obligations associated with entity and individual licenses are complied with.
- Provide ongoing compliance support in the advice and execution of Nomura’s regulatory obligations on areas as assigned, as well as local and regional compliance policies.
- Support Nomura with addressing regulatory requests, including coordinating dissemination of regulatory notifications and surveys, as well as managing and coordinating enquiries, regulatory meetings, inspections and investigations.
- Support with the investigation, escalation and reporting of suspected or actual breaches of financial regulatory requirements, internal compliance policies and standards, or other misconduct matters.
- Prepare and/or coordinate submission of periodic or ad hoc regulatory returns.
Conduct Office (AEJ)
- Support the conduct risk management framework and processes in firm on matters a delegated.
- Monitoring of Conduct through MI production.
- Perform periodic assessment and evaluation on conduct MIs and working with Nomura’s shared services Powai team to improve, enhance and ensure quality of MIs.
- Ensuring integrity of MIs and timely distribution to stakeholders. Performing checks on data before reporting and distribution of MIs.
- Ensure that the MIs are distributed to the relevant parties, committees for their review and awareness.
- Regular review of KRIs used to monitor conduct to ensure their relevance and updated to reflect key trends.
- Participate or partner with relevant stakeholders in organizing the relevant culture or conduct surveys, assessing responses and proposing measures in response to feedback received
- Regular update of the conduct trainings and presentations on conduct risk to new hires
Compliance Testing (AEJ)
- Execution of compliance testing on such areas as may be assigned.
Other Matters
Involvement in such other projects and initiatives as may be delegated including broader central compliance initiatives.
Requirements:
- 4- 6 years or above experience in Compliance or directly related Control functions
- Knowledge of Compliance Risk and Control operational framework
- Strong communication and interpersonal skills with the ability to confidently collaborate with other teams in Compliance
- Detail-oriented and organized team player with impeccable integrity
- Self-motivated and able to work with tight deadlines
- Adaptable and eager to learn and develop as a Compliance Professional
- Proficient in Excel and Powerpoint
- University-level degree preferably in Economics, Finance, Business or Legal
Diversity Statement
Nomura is committed to an employment policy of equal opportunities, and is fundamentally opposed to any less favourable treatment accorded to existing or potential members of staff on the grounds of race, creed, colour, nationality, disability, marital status, pregnancy, gender or sexual orientation.
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
SFID: 5167
