VP - Compliance - Singapore
- Permanent, Full time
- Nomura Asia
- 16 Oct 17 2017-10-16
We are looking for a VP level Compliance Officer with a focus on Investment banking or Fixed Income
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 requirements of individual, institutional, corporate and government clients through an international network in over 30 countries. Based in Tokyo and with regional headquarters in Hong Kong, London, and New York, Nomura employs over 27,000 staff worldwide. Nomura’s unique understanding of Asia enables the company to make a difference for clients through three business divisions: retail, asset management, and wholesale (global markets and investment banking).
Role Description / Areas of responsibility::
- Disseminate new/revised regulations to relevant parties. Advise on changes and impact of new/revised regulations. Work with relevant parties to address the changes.
- Advise on regulations and Compliance policies
- Conduct, if necessary, training for implementation of new regulatory initiatives
- Prepare regular reporting to Regional Office and EXCO
- Provide advice on general compliance matters i.e. Code of Conduct, Gift and Entertainment
- Responsible for SFA & FAA licensing
- Responsible for coordinating MAS reporting and submission of regular and ad-hoc reports to MAS (excludes financial reporting)
- Coordinate regulatory audits and internal/external audits relating to Compliance
Key contribution areas critical to success:
- In depth regulatory knowledge in banking and securities laws
- Strong ability to work with different level of employees especially senior management and strong in advise
Skills, experience, qualifications and knowledge required
- Must possess a relevant degree or professional qualifications.(mandatory)
- Must have at least 5 years’ experience in banking and at least 3 years in Compliance preferably in a bank with IB/Fixed Income focus. Candidate must have some understanding of banking business.
- Familiar with Singapore banking and securities laws and regulations.(mandatory)
- Must work well with people and take pressure. (preferred)
- Have strong communication skills. (mandatory)