Vice President - Compliance officer, Global Markets - Hong Kong Vice President - Compliance officer, Global  …

Nomura Asia
à Hong Kong, Hong Kong, Hong Kong
CDI, Plein-temps
Dernière candidature, 03 juil. 20
Competitive
Nomura Asia
à Hong Kong, Hong Kong, Hong Kong
CDI, Plein-temps
Dernière candidature, 03 juil. 20
Competitive
Providing compliance advisory services to the Sales, Trading and Structuring desk under Fixed Income business (Credit, FX/Rates) 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.Participating in and providing support to regional and global compliance projects/initiatives.Performing compliance review&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.

Nomura Overview   

Nomura is an Asia-based 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.
 
Functional 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.

 
Job description   
 
•Providing day-to-day compliance advisory services to the Sales, Trading and Structuring desk under Fixed Income business (Credit, FX/Rates) 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;
•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.

 
Key Experience & Skills   
 
•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 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;
•Excellent skill in spoken and written English. Mandarin and Cantonese would be an added advantage.

 
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.

Nomura Asia logo
Close
Loading...