Vice President - Compliance Officer – Hong Kong

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • Nomura Asia
  • 06 Nov 17 2017-11-06

As a key member of the country compliance team, the successful candidate shall provide general compliance coverage on Hong Kong regulatory affairs while extending support on China and regional compliance matters in Asia ex-Japan.

Nomura Overview

Nomura is an Asia-headquartered 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. For further information about Nomura, visit

Position / Group 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.
  • The Compliance department partners with business and other corporate divisions to support and advance the firm’s business and reputation, and manages the firm’s regulatory compliance in areas of different products and transactions, conflicts of interest, and personnel licensing and dealings, etc, in an environment with dynamically evolving rules and regulations.
  • As a key member of the country compliance team, the successful candidate shall provide general compliance coverage on Hong Kong regulatory affairs while extending support on China and regional compliance matters in Asia ex-Japan.


  • Supervise and manage regulatory applications, regulatory inquiries, inspections, surveys and other communications with local regulators and, very occasionally, those of Japan, China and other countries
  • Collaborate with advisory compliance teams and offer compliance advice to business divisions and corporate functions on regulatory and compliance matters
  • Conduct analysis on securities and/or banking regulations and provide advice on regulatory implications of new regulations and/or business initiatives
  • Lead, drive, design and coordinate compliance projects, compliance reviews and internal investigations
  • Represent Compliance in cross-divisional work groups
  • Consult and liaise with external counsels and advisors as needed
  • Develop new compliance policies and procedures, review and enhance existing ones and draft related compliance alerts and other communications
  • Develop and enhance compliance training programs and conduct compliance trainings
  • Compile and/or review management reports for Group Compliance and regional senior management
  • Supervise, manage and coach less experienced members of the team
  • Provide other ad-hoc support to regional and country compliance heads.


  • Business related university degree and/or professional legal or accounting qualification
  • At least 8 years of regulatory and/or compliance experience
  • Good understanding of investment banking industry and Hong Kong securities regulations; knowledge in banking regulations and China securities regulations a plus
  • Experience in handling regulatory applications, inquiries, inspections and/or other regulatory matters
  • Good relationship with regulators and industry peers in Hong Kong and preferably also in Asia
  • Strong analytical skills, problem solving ability and attention to details
  • Excellent communication skills, written and verbal, in English and Chinese, with Mandarin a plus
  • Team player, with good interpersonal skills
  • Excellent time and project management skills
  • Self-motivated, strong sense of responsibility and impeccable integrity
  • Experience in managing a small team preferred
  • High proficiency in PC applications, including hands-on knowledge of Microsoft Word, Excel, Powerpoint and Outlook

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.