Job Title:  Global Markets Compliance VP

Company overview

Nomura is a global financial services group with an integrated network spanning approximately 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Wealth Management, Investment 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

JOB DESCRIPTION
Job Title: Global Markets Compliance VP
Corporate Title: Vice President
Department: Compliance
Location: Hong Kong

Role Overview:
This role is a senior advisory position providing end-to-end compliance coverage to the AEJ FICC sales and trading businesses, with primary responsibility for regulatory advice, regulatory change management, and management of conduct and market abuse risks across the FICC product suite.  The candidate is expected to work closely and collaborate with senior business and compliance stakeholders across AEJ.

Role Description:
•    Key Responsibilities - Advisory:
o    Provide regional compliance advisory support to AEJ FICC businesses  covering sales, trading, and structuring activities
o    Deliver prompt, pragmatic regulatory advice to front-office staff on the design, execution and documentation of FICC transactions, including secondary market activities, electronic trading, voice trading and complex/structured products
o    Interpret and communicate the impact of new and existing regulations (e.g. conduct, market abuse, best execution, investor suitability, etc.) on FICC business strategies, client interactions and booking models, and coordinate with Legal where necessary
o    Participate in new product and business initiative approvals for FICC, assessing regulatory, conduct and reputational risk, challenging structures where appropriate and ensuring that necessary controls, disclosures and approvals are in place before launch

•    Key Responsibilities - Regulatory Change, Monitoring and Controls:
o    Act as a key point of contact between the FICC business, second-line compliance functions and regulators on all matters relating to market conduct, investor protection, prudential and licensing requirements impacting the business
o    Lead or support regulatory change projects relevant to FICC (e.g. changes to market integrity, cross-border selling rules, etc.), including gap analysis, control design, implementation and post-implementation review
o    Work with central compliance, risk and operations to design, calibrate and review surveillance and monitoring controls over FICC trading and communications (e.g. market manipulation, spoofing, information barriers, conflicts of interest and suitability), escalating and remediating issues as required
o    Contribute to periodic compliance risk assessments for the FICC businesses, documenting inherent and residual risks, control effectiveness and remediation plans, and presenting results to relevant governance committees

•    Key Responsibilities - Regulatory Engagement, Governance and Training:
o    Support the AEJ Head of Business Compliance in maintaining an effective compliance framework, including policies, surveillance, training and governance specific to FICC activities in the region
o    Act as a day-to-day interface with relevant regulatory compliance team on FICC-related inquiries, thematic reviews, examinations and audits, coordinating information requests, responses and remediation actions with business and support functions
o    Prepare and deliver regular compliance reporting and management information for senior management and risk committees, including key risk indicators, incident trends, regulatory developments and status of remediation items in the FICC area
o    Develop and deliver targeted training to front-office and support staff on regulatory requirements, internal policies and expected behaviors relating to FICC products and markets, reinforcing a strong conduct and control culture

Skills, experience, qualifications, and knowledge required:
·    Bachelor's degree or above in Law, Finance, Business, Economics or a related discipline
·    Professional qualifications (e.g. legal, compliance, securities markets) 
·    Minimum 7 years of relevant markets compliance experience from sizable international or regional banks, securities firms or regulators, with demonstrable exposure to FICC products and sales/trading environments
·    Deep knowledge of global and AEJ financial markets regulations affecting FICC businesses, such as conduct and market abuse regimes, derivatives and transaction reporting, suitability and distribution rules, and cross-border marketing requirements
·    Strong stakeholder management skills with the ability to influence and constructively challenge front-office and support functions, manage multiple priorities in a fast-paced environment, and exercise sound judgment under pressure
·    Proficiency in English and Chinese to support engagement with clients, regulators and internal stakeholders across the region.

Nomura Competencies

Explore Insights & Vision
·  Identify the underlying causes of problems faced by you or your team and define a clear vision and direction for the future.Making Strategic Decisions
·  Evaluate all the options for resolving the problems and effectively prioritize actions or recommendations.
Inspire Entrepreneurship in People
·  Inspire team members through effective communication of ideas and motivate them to actively enhance productivity.
Elevate Organizational Capability
·  Engage proactively in professional development and enhance team productivity through the promotion of knowledge sharing. 
Inclusion 
·  Respect DEI, foster a culture of psychological safety in the workplace and cultivate a "Risk Culture" (Challenge, Escalate and Respect).