Associate - Compliance, Wealth Management - Hong Kong

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • Nomura Asia
  • 27 Sep 16


Job Title: Associate - Compliance, Wealth Management - Hong Kong
Corporate Title: Associate (Assistant Vice President equivalent)
Division / Department: Compliance
Location: Hong Kong

Nomura Overview

Nomura is a leading financial services group and the preeminent Asian-based investment bank with worldwide reach. Nomura provides a broad range of innovative solutions tailored to the specific client requirements through an international network in over 30 countries.

Nomura’s senior management places significant emphasis on business ethics, compliance and internal controls with a view in achieving long-term and sustainable business success.

Role Overview:

A member of the Wealth Management Compliance team based in Hong Kong, with main responsibility for providing compliance support to the Wealth Management Division (“WMD”) of Nomura International (Hong Kong) Limited. 


  • Provide compliance advice and support for Wealth Management business in Hong Kong
  • Provide induction and other compliance training
  • Liaise with and update the business on regulatory requirements/changes and policies and procedures
  • Draft and implement compliance policies and procedures
  • Partner with Wealth Management and Trust business in growth initiatives
  • Handle regulatory inquiries, examinations and audits and liaise with regulators, Legal, internal and external auditors. Investigate incidents for assessment of regulatory compliance
  • Work with and support WMD Business Control in their scope of monitoring and reviews; review and advise on Business Control’s review reports, escalate matters to and advise Senior Management when required
  • Coordinate submission of periodic or ad hoc regulatory reports
  • Conduct compliance monitoring and desk reviews 


  • Degree or equivalent preferably in a relevant discipline (e.g. Finance, Business, Accounting, Legal)
  • Minimum 4 years’ experience in Compliance in a financial institution, preferably in private banking / wealth management.
  • Familiar with wealth management investment suitability requirements and corresponding supervisory monitoring processes
  • Familiar with the operations of wealth management business and the corresponding SFC rules and regulations and able to identify compliance/regulatory risks within the business
  • Good analytical and investigation skills and able to work independently
  • 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
  • Ability to act decisively and independently in situations requiring quick analysis
  • Excellent skill in spoken and written English. Mandarin would be an added advantage.
  • Understanding of main Asia Pacific laws and regulations, especially Singapore
  • Experience in conducting monitoring, surveillance and desk reviews
  • Experience in handling queries from and dealing with regulatory bodies

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.