Job Title: VP, Equities Compliance Officer (Hong Kong)
JOB DESCRIPTION
Job title: Equities Compliance Officer
Corporate Title: Vice President
Department: Compliance
Location: Hong Kong
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:
Asia Legal and Compliance (L&C) Mission Statement
• To support and protect the firm as a second line of defense by identifying, analysing and mitigating Legal and Compliance risks
• To promote risk and control ownership across the firm and together with others foster a culture of ethics/compliance
Equities Compliance is a part of the L&C Department and plays a key role in managing Compliance risk. As the rapidly changing regulatory landscape across Asia becomes more complex, ensuring compliance becomes a greater challenge. We offer both breadth and depth of knowledge and experience in the provision of regulatory and compliance advisory services to AEJ Equities.
Role description:
• The successful candidate will provide compliance coverage to Asia ex-Japan Equities business (Sales and Trading, Equity Derivatives, Delta One, Prime Services and Futures & Options, etc). Providing support to other compliance initiatives / projects for Asia ex-Japan Global Markets business.
• You will provide day-to-day compliance advisory services to the Asia ex-Japan Equities business and their support functions regarding the Firm’s policy, relevant regulatory requirements, and industry best practice;
• Keeping track of regulatory requirements and coordinating any related changes;
• Reviewing and maintaining compliance policies and procedures;
• Performing compliance review and investigation and identify gaps and make recommendations;
• Compiling response for regulatory inquiries, reporting and surveys; and
• Conducting compliance training for business personnel.
Skills, experience, qualifications and knowledge required:
• College Degree minimum. Degree holder of Law, Accounting, Finance, Business or other related disciplines.
• Minimum of 6-8 years of relevant working experience in Compliance, Audit, or Operations with broad knowledge of Equities products and exposure to Global Market business.
• Excellent negotiating, language and inter-personal skills; should be a proactive, solutions driven, confident, highly motivated and organized team player with impeccable integrity, should possess excellent issue spotting, analytical and resolution of conflicts skills
• Able to act decisively and independently in situations requiring quick analysis
• Ability to work under stress and perform multiple tasks concurrently
• Excellent language skills in spoken and written English. Cantonese and Mandarin would be added advantage.
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