Compliance Officer - Hiring Immediately

We are searching for an ambitious Compliance Officer to join our amazing team at Nomura Holdings, inc. in Central.
Growing your career as a Full Time Compliance Officer is a terrific opportunity to develop useful skills.
If you are strong in communication, critical thinking and have the right drive for the job, then apply for the position of Compliance Officer at Nomura Holdings, inc. today!

JOB DESCRIPTION

 

Job title: Compliance Officer

Corporate Title: Senior Associate

Department: Compliance Control Room

Location: Hong Kong

 

Company overview

 

Nomura is a global financial services group with an integrated network spanning over 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Retail, Wholesale (Global Markets and Investment Banking), and Investment Management. Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought leadership. For further information about Nomura, visit  .

 

Aon’s Benefit Index ® , Nomura’s benefits rank #1 amongst our competitors

 

Department overview :

 

The Nomura (or the “Firm”) Asia ex. Japan (“AEJ”) Control Room's main role is to ensure that the integrity of Nomura's Chinese Wall/information barrier remains intact. This is achieved by having appropriate segregation between certain businesses and a monitoring program to ensure no inappropriate disclosure of material and non-public information (MNPI). Some of the main functions of the Control Room are:

• Assessing and advising on matters related to (physical, technological, etc.) information barriers
• Maintaining the Firm's monitoring lists, such as the Watch and Restricted Lists
• Review and clearance of research
• Wall crossing reviews
• Reviewing and escalating conflicts of interest
• Review and escalation or approval of personal account dealing
• Review and approval of outside business interests
• Training on the above concepts
• Participate in global and regional initiatives which require Control Room input

 

Responsibilities:

 

The Compliance Control Room Associate will be based in Nomura's Hong Kong office, and reporting to the team leader locally. The role and responsibilities include:

• Liase between the public and private sides of the Firm
• Review and assess public and private side information barrier assignments for employees
• Coordinate and manage the pre-deal research review process from the Compliance perspective
• Review wall crossing requests and escalate, as necessary
• Advise on and manage potential conflicts between Investment Banking and Research
• Review and approval of research notes
• Assess and escalate electronic communication surveillance findings, as needed
• Advise on and revise relevant policies and procedures, as needed
• Manage and coordinate the conflict check process for Investment Banking deals
• Participate in global projects to provide the perspective of the AEJ franchise
• Recommend, track and provide updates on assigned project implementations/enhancements to increase Control Room efficiency and to meet audit and regulatory requirements
• Provide management information (MI), as needed
• Continuously look to enhance the Control Room systems and procedures
• Assist with audit queries
• Interact with Compliance staff within Nomura's network, Front Office, Operations, Product Control, and Market Risk to advise on information barriers or conflict issues
• Work with product and country compliance teams to understand regulatory requirements, when necessary

 

Skills, experience, qualifications and knowledge required:

• Bachelor’s/Undergraduate degree preferably, but not required, in a relevant discipline (Finance, Accounting, Business, Legal)
• 4-8 years Compliance experience or equivalent
• Should be able to act decisively and independently in situations requiring quick analysis
• Should possess excellent issue spotting, analytical and resolution of conflicts skills
• Excellent negotiation and interpersonal skills
• Organized team player with impeccable integrity
• Knowledge of local and global regulatory requirements and industry standard around information barriers and conflicts preferred
• Good product knowledge across asset classes. Experience on Investment Banking transactions (IPOs, M&As, acquisition financing, etc.)
• Articulate and excellent verbal, written, and presentation skills
• Analytical and problem solving skills and able to escalate issues when necessary
• Project management skills

 

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.

 

 

Nomura is an Equal Opportunity Employer

Benefits of working as a Compliance Officer in Central:

● Excellent benefits
● Company offers career progression opportunities
● Advantageous package