Associate - Equities Compliance Officer - Global Markets Compliance - Hong Kong Associate - Equities Compliance Officer - Global  …

Nomura Asia
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 25 May 20
competitive
Nomura Asia
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 25 May 20
competitive
This group provides compliance coverage to Asia ex-Japan Equities business (Sales and Trading, Equity Derivatives, Delta One, Prime Services and Futures & Options etc). Providing support to other compliance initiatives / projects for Asia ex-Japan Global Markets business.You will provide day-to-day compliance advisory services to the Asia ex-Japan Equities business and their support functions regarding the Firm’s policy, relevant regulatory requirements, and industry best practice.Keep track of regulatory requirements, review and maintain compliance policies and procedures.Performing compliance review and investigation and identify gaps and make recommendation.Compiling response for regulatory inquiries, reporting and surveys; and Conducting compliance training for business personnel.

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 description   
 
•This group provides compliance coverage to Asia ex-Japan Equities business (Sales and Trading, Equity Derivatives, Delta One, Prime Services and Futures & Options etc). Providing support to other compliance initiatives / projects for Asia ex-Japan Global Markets business
•You will provide day-to-day compliance advisory services to the Asia ex-Japan Equities business and their support functions regarding the Firm’s policy, relevant regulatory requirements, and industry best practice;
•Keep track of regulatory requirements, review and maintain compliance policies and procedures;
•Performing compliance review and investigation and identify gaps and make recommendation;
•Compiling response for regulatory inquiries, reporting and surveys; and
•Conducting compliance training for business personnel.

 
Key Experience & Skills   
 
•College Degree minimum. Degree holder of Law, Accounting, Finance, Business or other related disciplines.
•2-4 years of relevant working experience in Compliance, Audit, and Operations with broad knowledge of Equities products and exposure to Global Market business.
•Excellent negotiating, language and inter-personal skills; should be a proactive, solutions driven, confident, highly motivated and organized team player with impeccable integrity;  should possess excellent issue spotting, analytical and resolution of conflicts skills
•Able to act decisively and independently in situations requiring quick analysis
•Good communication and inter-personal skills; Reliable with integrity, responsibility and strong commercial sense; should be a solutions driven, highly motivated and organized team player;
•Ability to work multiple tasks concurrently
•Excellent skill in spoken and written English. Cantonese and Mandarin would be 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.

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