NCT - Compliance Manager

Nomura Asia
Singapore, Singapore
08 Aug 2022
25 Aug 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Company 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

As the agency-model execution services arm of the Nomura Group, Instinet Incorporated subsidiaries provide brokerage services to clients in over 65 markets around the world. Through its advanced suite of electronic trading strategies, experienced high-touch trading group, top-ranked Commission Management services, award-winning desktop trading platform, and unparalleled access to insightful analytics, content and unique liquidity, Instinet helps institutions lower overall trading costs and ultimately improve investment performance. For more information, please visit


Compliance Manager will be based in Instinet's Singapore office and reports to the Head of Compliance, Singapore.

Key responsibilities include:

• Reviewing and analysing due diligence information on new and existing clients to meet all regulatory requirements.

• Liaise with front office and clients on account opening-related and KYC queries.

• Review any suspicious activities or transactions arising from rolling review of client accounts.

• Daily review of SMARTS monitoring alerts to identify and escalate unusual transaction or activities

• Assist in regulatory enquiries and request for client information or investigation of client account activities.

• Complete other transaction monitoring reports as needed (large transaction, married trades, error trades, sample checks).

• Monitor licensed representatives' compliance with regulatory requirements (fit and proper, CPD, etc).

• Preparation of license applications for new licensed representatives, if any.

• Routine reporting to MAS and SGX as required.

• Routine reporting to affiliates as required.

• Liaise with Hong Kong compliance team on AEJ group compliance issues.

• Monitor staff compliance with staff dealing policy.

• Assign and ensure staff training has been completed.

• Liaise with outsourced vendors on bi-annual basis to complete outsourcing due diligence.

• Assist with co-ordination of annual BCP testing.

• Review any new regulatory updates, circulars, notices and escalate where relevant.

• Assist with internal and external audit enquiries.

• Other ad hoc general compliance duties as required.


• Minimum a Bachelor Degree in Finance, Accounting or Business at an accredited University

• Minimum 6 years of work experience in Compliance role (particularly in AML / KYC client on boarding and transaction monitoring) in a bank or financial services company.

• Knowledge of Singapore AML/CFT laws and regulations.

• Good communication skills.

• Problem solving mindset.

• Good team player, proactive and able to adapt quickly.

Regional Disclaimers / 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.

TSID: 1214846

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