Job Title: Regulatory Compliance Officer

Job Code: 13257

Country: HK

City: Central

Skill Category: Compliance

Description:

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: Regulatory Compliance Officer

Corporate Title: Associate
Division: Compliance
Location: Hong Kong

Licensed Role: No

Function Overview:

Nomura’s senior management places significant emphasis on business ethics, compliance and internal controls with a view in achieving long-term and sustainable business success.
The LCC Division partners with business and other corporate divisions to support and advance the firm’s business and reputation, and manages the firm’s regulatory compliance in areas of different products and transactions, conflicts of interest, and personnel licensing and dealings, etc, in an environment with dynamically evolving rules and regulations.

Role Overview:

As a member of the Hong Kong SAR Regulatory Compliance team, the successful candidate shall provide general compliance coverage on Hong Kong regulatory affairs, act as a liaison with regulators and handle regulatory enquiries.

Role Description:

Be a key member of the Hong Kong SAR Regulatory Compliance team to provide compliance support to ensure Nomura complies with applicable statutory and regulatory requirements
Provide sound and coherent compliance advice and support on matters relating to Nomura’s business activities in Hong Kong, conduct analysis on applicable securities and/or financial regulations and advise on implication to Nomura business activities and operations
Advise on and assist in regulatory applications, inquiries, inspections, surveys and other communications with local regulators
Help to develop new compliance policies and procedures, review and enhance existing ones and draft related compliance alerts
Prepare regular KRI and other compliance reports for internal and external stakeholders
Develop, enhance and conduct compliance training
Collaborate with advisory compliance teams to advise business divisions and corporate functions on regulatory and compliance matters
Represent Compliance in cross-divisional work groups and participate in industry consultations on changes in rules and regulations

Requirements:

University-level degree preferably in a relevant discipline (Finance, Accounting, Business, Law)
5+ years (for Associate) of experience in Compliance, Legal or regulatory functions in financial industry, preferably from investment bank and/or regulatory authority
Experience in handling regulatory applications, inquiries, inspections and/or other regulatory matters
Good understanding of Hong Kong securities regulations and financial products
Knowledge in relevant securities regulations / cross border requirements in China is a plus
Strong analytical skills, problem solving ability and attention to details
Excellent communication skills, written and verbal, in English and Chinese, with Mandarin a plus
Organized team player with good interpersonal skills
Self-motivated, strong sense of responsibility and impeccable integrity.

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).

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