VP, Global Markets Compliance Officer (Singapore)

Nomura Asia
Singapore, Singapore
11 Mar 2023
10 Apr 2023
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
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 .

Aon's Benefit Index ® , Nomura's benefits rank #1 amongst our competitors

Job Overview:
As part of the Global Markets Compliance team for Asia ex-Japan, provide compliance advisory/support to the Fixed Income segment of the Global Markets business in the Asia ex-Japan region.

• Providing day-to-day compliance advisory services to the Sales, Trading (Rates/FX) and Structuring desk under Fixed Income business (and their support functions, regarding the Firm's policy and relevant rules and regulations;
• Establishing / updating policies and procedures in accordance with latest regulatory requirements and firm policy;
• Reviewing new product/business requests from business and advising on any necessary controls / policies & procedures which would need to be put in place;
• Reviewing escalation of alerts raised by Compliance Surveillance team;
• Handling compliance breaches/incidents with internal stakeholders;
• Participating in and providing support to regional and global compliance projects/initiatives;
• Performing compliance review and risk assessment to identify gaps and make recommendations;
• Preparing and providing compliance training for business personnel;
• Handling regulatory inquiries, examinations and audits; and
• Participating in related industry trade groups.

• University-level Degree preferably in a relevant discipline (Finance, Accounting, Business, Legal);
• 8+ years working experience in global markets compliance, legal or regulatory functions possessing a broad knowledge of Fixed Income business. Experience in a trading floor environment with knowledge of Indian FPI business, Investment Banking and Research business is a plus;
• Good understanding of the key regulators in Asia ex-Japan, their culture, policies and expectations and an ability to understand the potential impact of overseas regulatory development;
• Excellent negotiating and inter-personal skills; should be a solutions driven, confident, highly motivated and organized team player with impeccable integrity; should possess excellent issue spotting, analytical and resolution of conflicts skills;
• Should be able to act decisively and independently in situations requiring quick analysis;

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