Job Title:  VP, Compliance Monitoring and Surveillance Officer (Hong Kong)

Job Description
Job Title:  Compliance Monitoring and Surveillance Officer
Corporate Title: Vice President
Division: Legal, Compliance & Conduct (LCC)
Location: Hong Kong

Nomura Overview 
Nomura is an Asia-headquartered 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 practices disciplined entrepreneurship while building on a long tradition of serving clients with creative solutions and considered thought leadership. For further information about Nomura, visit www.nomura.com.

Function Overview:

The AEJ Monitoring and Surveillance Compliance team is responsible to implement systems and controls to detect potential market abuse/misconduct activities as well as internal Compliance policy breaches throughout the Asia-Ex-Japan markets, which includes Singapore, Hong Kong, Taiwan, Malaysia, India, Korea and Australia.  It allows the firm to comply with its regulatory obligation and seeks to protect the interest of both the firm’s clients and the firm itself.  

Role description:

Reporting to Compliance AEJ Head of Monitoring and Surveillance, the role and responsibilities include:
•    Identifying new and emerging risks from business and regulatory developments and assessing their impact on the compliance surveillance programme
•    Involvement in regional and global implementation projects to develop and maintain trade and Ecom surveillance technology and ensuring proper documentation of project plan and testing
•    Ensuring compliance surveillance activities are undertaken according to agreed procedures and frameworks.  Making sure escalation processes are followed and all issues are escalated and closed out in a timely manner
•    Supervising local surveillance team and ensure effectiveness of the controls over the day-to-day processes 
•    Ensuring surveillance models including their parameters are accurate and reflective of the regulatory environment
•    Identifying and escalation to management any issues that impact the quality of the surveillance alerts.  Improving surveillance applications by working closely with technology on potential enhancement and addressing such issues
•    Preparing reports to senior management/stakeholders regarding surveillance review findings
•    Engaging within Compliance and with other internal stakeholders to facilitate a coordinated approach to compliance surveillance matters across the region.
•    Working closely with other legal and compliance teams to review and conduct investigations when necessary
•    Supporting Compliance AEJ Head of Monitoring and Surveillance on ad hoc assignments as required

Skills, experience, qualifications and knowledge required:
•    Minimum 8 years of related experience, including experience with managing teams and training of staff
•    Knowledge across different asset and product classes required
•    Proficient understanding of the surveillance and compliance process including experience in performing risk assessment and project management
•    Knowledge of local and global regulatory requirements and industry standard around market abuse surveillance
•    Experience in managing relationship with regulators and auditors
•    Track record in identifying potential improvements within business processes 
•    Strong stakeholder management and ability to work collaboratively with other regional and global partners
•    Self-starter with strong analytical, problem-solving skills, and ability to manage multiple projects
•    Strong team player with excellent communication and presentation skills
•    Solid experience with compliance surveillance applications

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