Vice President - Private Side Compliance Officer - Compliance - Hong Kong Vice President - Private Side Compliance Officer -  …

Nomura Asia
in Hong Kong
Festanstellung, Vollzeit
Letzte Bewerbung, 26 Nov 20
Competitive
Nomura Asia
in Hong Kong
Festanstellung, Vollzeit
Letzte Bewerbung, 26 Nov 20
Competitive
Nomura Private Side Compliance in Asia ex-Japan (AEJ) region provides core Compliance advisory support to Investment Banking (IBD) and Research businesses, Control Room core functions and assists the businesses in maintaining appropriate control framework and complying with the relevant policy and regulatory requirements. Private Side Compliance is primarily responsible for maintaining robust control of information flow and managing conflict of interest for Nomura business in AEJ region.

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 four business divisions: Retail, Asset Management, Wholesale (Global Markets and Investment Banking) and Merchant Banking. 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 www.nomura.com.

Functional Overview  

Nomura Private Side Compliance in Asia ex-Japan (AEJ) region provides core Compliance advisory support to Investment Banking (IBD) and Research businesses, Control Room core functions and assists the businesses in maintaining appropriate control framework and complying with the relevant policy and regulatory requirements. Private Side Compliance is primarily responsible for maintaining robust control of information flow and managing conflict of interest for Nomura business in AEJ region.

Job Description  

Candidate will primarily be responsible for advising IBD/Research businesses, handling projects and inquiries from regulators or internal/external auditors relating to Investment Banking and Research businesses and control mechanisms managed by Control Room (AEJ).

Candidate will perform regular review of the control procedures managed by Control Room and closely monitor the regulatory development in AEJ regions and implement the required enhancements such as policy and procedure revisions and conducting compliance training. Candidate will have active interactions with IBD and Research businesses and be able to work highly independently. Strong written and presentation skills are essential.

  • Compliance advisory for IBD and Research businesses
  • Conflicts management and Control Room core functions
    • Escalation owner of surveillance and control reviews relating to IBD and Research staff
    • Investigation and reporting of potential policy violations and advise on disciplinary actions
    • Review and approve Staff Dealing requests, Outside Business Interest and Gifts & Entertainment expenses
    • Drive and conduct Compliance training
    • Watch List and Restricted List maintenance
    • Review and approve Research reports
    • Approve and advise on wall-crossing requests
    • Act as key liaison between private and public side businesses to perform conflict checks, coordinate responses to identified conflicts and advise businesses for managing potential conflicts
    • Management of information walls and deal trees

Key Experience & Skills  

  • Able to work highly independently with tight deadlines
  • Outstanding project management, written and spoken English language skills
  • 7 years or above experience in Compliance of IBD or Research
  • Preference will be given to candidate with experience in Control Room, Conflict Management, Investment Banking and Research and Chinese language skills

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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