Associate - Global Markets Compliance Officer - Singapore
- Permanent, Full time
- Nomura Asia
- 30 Sep 16
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.
As part of the Global Markets Compliance team for Asia ex-Japan, provide compliance support to the Equities segment of the Global Markets business in the region, including compliance advisory (new products, new regulations), drafting/updating internal policies/procedures, establishing controls and providing compliance training.
- Providing advisory support to the Equities business (Equity Derivatives, Delta-1, Prime Finance, Structured Products, Syndicate etc) in different product groups (Cash Equities, Equity Derivatives, Structured Products, Futures & Options, etc) regarding the Firm’s policy and the relevant securities and derivatives rules and regulations;
- Advising business personnel on new rules and regulations which affect their business;
- Establishing / updating policies and procedures in accordance with regulatory requirements and firm policy;
- Coordinating with Legal, New Products, Controllers, Operations, Risk, IT and other areas to ensure the appropriate controls and policies and procedures are in place for new businesses;
- Investigating Equities and Futures & Options trade surveillance alerts and electronic communication surveillance alerts;
- Developing an understanding of the systems used by the business units and working with internal IT and external vendor to enhance the surveillance framework for Equities and Futures & Options business;
- Monitoring Nomura’s shareholdings and ensuring compliance with substantial shareholding disclosure requirements;
- Participating in compliance projects to cope with major global regulatory initiatives such as Dodd-Frank, EMIR;
- Providing compliance training for business personnel;
- Handling regulatory inquiries, examinations and audits;
- Performing periodic and ad-hoc Compliance reviews.
- University-level Degree preferably in a relevant discipline (Finance, Accounting, Business, Legal);
- 3 to 5 years experience in global markets compliance, legal or regulatory functions possessing a broad knowledge of Equities products. Experience in a trading floor environment is a plus;
- Familiar with Singapore Disclosure of interest requirements and the disclosure process;
- An understanding of the key regulators in Singapore, 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;
- In addition, experience in dealing with sales, trading and capital market professionals and in advising such persons on real-time trading questions and scenarios;
- Should be able to act decisively and independently in situations requiring quick analysis;
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.