Compliance Officer

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 Central Compliance team applies 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 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.

Role description:

The Compliance Officer will report to the VP of Central Compliance and will provide support across various ongoing run-the-bank and change-the-bank initiatives in relation to Country Compliance (Singapore) and Central Compliance, as directed by the VP of Central Compliance or the Head of Central Compliance Asia.

Country Compliance (SG)

• Provide support in coordination and execution of SG Reg Compliance frameworks and controls e.g., reconciliation activities, maintenance of regulatory database
• Support Change-the-Bank initiatives e.g., Compliance Testing remediation activities, Policies review/update
• Prepare and/or coordinate submission of periodic or ad hoc regulatory returns
• Involvement in any other projects and/or other regulatory compliance-related work as may be delegated.

Central Compliance

• Coordinate compliance advice pertaining to infrastructure matters impacting the operation of Nomura’s business in the region
• Administration of Compliance Testing framework, Compliance Risk Assessment and Risk and Controls Self-Assessment (RCSA) for Compliance in the region
• Support preparation of materials for management information (MI) in relation to Infra Compliance matters
• Involvement in any other projects, testing, and initiatives, as may be delegated to support central compliance initiatives.

Skills, experience, qualifications and knowledge required:

• University-level degree preferably in Economics, Finance, Business, or Legal. Fresh graduates are welcome to apply.
• Exceptional interpersonal and communication skills, both written and verbal, with professional and approachable demeanor
• Strong reasoning, logical thinking skills and ability to quickly grasp complex concepts and information
• Systematic, detail oriented and organized team player with impeccable integrity
• Natural ability to connect with people at all levels
• Excellent team collaboration skills
• Proactive, self-motivated and able to work with tight deadlines
• Adaptable, eager to learn and develop as a Compliance Professional
• 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.

SFID: 9759