Job Title:  Fixed Term Contract, Compliance Officer

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: Fixed Term Contract, Compliance Officer
Corporate Title: No Corporate Title
Department: Compliance
Location: Singapore

Department overview:
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.

The Central Compliance team apply specialist knowledge to support management of compliance risk
regionally. 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.

Role description:
The Compliance Officer will provide support across various ongoing run-the-bank and change-the-bank
initiatives in relation to Country Compliance (Singapore).
Key focus areas include:
Country Compliance (SG)
• Serve as a point of contact for regulatory licensing matters in Singapore, and work closely with team
members to ensure all conditions and obligations associated with entity and individual licenses are
complied with.
• Provide ongoing compliance support in the advice and execution of Nomura’s regulatory obligations on
areas as assigned, as well as local and regional compliance policies.
• Support Nomura with addressing regulatory requests, including coordinating dissemination of
regulatory notifications and surveys, as well as managing and coordinating enquiries, regulatory
meetings, inspections and investigations.
• Support with the investigation, escalation and reporting of suspected or actual breaches of financial
regulatory requirements, internal compliance policies and standards, or other misconduct matters.
• Prepare and/or coordinate submission of periodic or ad hoc regulatory returns.
• Preparation of management information/ reporting materials
Central Compliance
• Involvement in any other projects and initiatives, as may be assigned

Skills, experience, qualifications and knowledge required:
• 7 – 15 years of experience in Regulatory Compliance function
• Self-motivated and able to work with tight deadlines
• Exceptional interpersonal and communication skills, both written and verbal, with professional and
approachable demeanor
• Systematic, detail oriented and organized team player with impeccable integrity
• Proactive, self-motivated and able to work with tight deadlines
• Proficient in Excel and PowerPoint

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