Company overview
Nomura is a global financial services group with an integrated network spanning over 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Retail, Wholesale (Global Markets and Investment Banking), and Investment Management. 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 .
Department overview:
The SG Country Compliance team applies 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.
The Central Compliance team apply specialist knowledge to support management of compliance risk regionally. 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.
Role description:
The Compliance Officer will provide support across various ongoing run-the-bank and change-the-bank initiatives in relation to Country Compliance (Singapore).
Key focus areas include:
Country Compliance (SG)
- Serve as a point of contact for regulatory licensing matters 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.
- Preparation of management information/ reporting materials
- Central Compliance
- Involvement in any other projects and initiatives, as may be assigned
Skills, experience, qualifications and knowledge required:
- 7 – 15 years of experience in Regulatory Compliance function
- Self-motivated and able to work with tight deadlines
- Exceptional interpersonal and communication skills, both written and verbal, with professional and approachable demeanor
- Systematic, detail oriented and organized team player with impeccable integrity
- Proactive, self-motivated and able to work with tight deadlines
- Proficient in Excel and PowerPoint
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: 10722