Associate / Vice President - Operational Risk Management - Hong Kong

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


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.

Job/Group Overview:

The management of operational risk is a key business priority for Nomura and is vital to the successful delivery of the firm’s strategy. The AEJ Operational Risk Team is an independent risk management group (second line of defence) overseeing and ensuring risk management at the Firm level. Scope of risk coverage for the candidate includes all business lines, with a primary focus on Global Markets business. The candidate will report to the Head of AEJ Global Markets ORM in Hong Kong.


  • To ensure that operational risks are properly assessed; that processes, roles and responsibilities are clearly understood; that all risk / return and control costs / benefit description are made transparently on the basis of a complete and proper assessment, and all controls are implemented in accordance with the Group's standards and in line with the Risk Appetite
  • To ensure Operational Risk Framework and all associated policies and procedures and the Risk Management Framework are effectively embedded and communicated in country to Businesses and Functions

Key Deliverables of the role will involve:

  • Overseeing the production of monthly Aggregated Risk Profiles within AEJ
  • Consulting with peer business aligned Operational Risk Managers on risks associated with their businesses
  • Consulting with embedded risk and controls managers on the adequacy of the risk and control environment through facilitation of Risk and Control Self Assessments, Incident Analysis, Key Risk Indicator and Scenario Analysis
  • Identifying key trends, issues and other insights requiring further investigation and following up with the business through challenging assessments and ensuring regional trends are adequately explored
  • Supporting the on-going development of operational risk practices and framework and be involved in global projects


  • Have 6 to 8 years’ experience in financial services institutions in a risk or control related function, with knowledge on ORM framework and how to make it work practically
  • Good front to back knowledge of Equities and Credit trading processes across infrastructure and markets
  • Strong analytical skills and ability to clearly articulate issues in terms of risk to the organisation with commercial solutions.
  • Proficient in Excel with knowledge in VBA an advantage
  • Have excellent written / verbal communication and presentation skills
  • Ability to establish high levels of credibility with senior management
  • Display commercial awareness and an understanding of key business priorities
  • Display a proactive approach to operational risk management
  • Willingness to be “hands on” in achieving department objectives

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.