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
Nomura's Legal and Compliance department ensures compliance with laws and regulations by developing effective programs in collaboration with senior leadership, business units, and stakeholders. The department's expertise in regulatory compliance, ethics, anti-money laundering, and data privacy provides guidance on risk management, governance, and regulatory reporting. Nomura's Legal and Compliance team has a strong track record and reputation for exceptional service to clients. With a commitment to innovation and global reach, Nomura's Legal and Compliance department is well-positioned to continue driving growth and success in the financial industry
Job Overview:
As part of the Global Markets Compliance team for Asia ex-Japan, provide compliance advisory/support to the Fixed Income segment of the Global Markets business in the Asia ex-Japan region.
Responsibilities:
- Providing day-to-day compliance advisory services to the Sales, Trading (Rates/FX) and Structuring desk under Fixed Income business (and their support functions, regarding the Firm’s policy and relevant rules and regulations.
- Establishing / updating policies and procedures in accordance with latest regulatory requirements and firm policy.
- Providing support in the reviewing of new product/business requests from business and advising on any necessary controls / policies & procedures which would need to be put in place.
- Reviewing escalation of alerts raised by Compliance Surveillance team.
- Handling compliance breaches/incidents with internal stakeholders.
- Participating in and providing support to regional and global compliance projects/initiatives.
- Performing compliance review and risk assessment to identify gaps and make recommendations.
- Preparing and providing compliance training for business personnel.
- Handling regulatory inquiries, examinations and audits.
- Participating in related industry trade groups.
Requirements:
- University-level Degree preferably in a relevant discipline (Finance, Accountancy Business, Legal)
- Minimum 7 years of working experience in Global Markets compliance or regulatory roles possessing a working knowledge of Fixed Income products and business would be required
- Experience in working in a trading floor environment with knowledge of Indian FPI business is advantageous
- Strong and effective written and verbal communication skills with attention to details and accuracy
- Good understanding and working knowledge of the local laws and regulations (Banking Act, SFA, FAA)
- Exposure to key regulatory landscape in Asia ex-Japan, the culture, policies and expectations and an ability to understand the potential impact of overseas regulatory development
- Excellent negotiating and inter-personal skills; should be a solutions driven, confident, highly motivated and organized team player who can also work independently, should possess excellent issue identification, analytical and resolution of conflicts skills.
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: 5868
