Job Description

Company 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 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
Function Overview
The SG Country Compliance team apply specialist local regulatory knowledge to support management of compliance risk arising at a country level. They maintain local registrations and licenses and maintain relationships with key local financial regulators, acting as a primary contact point for regulatory notifications, enquiries, inspections and investigations. There are country compliance teams located in Australia, Hong Kong SAR, India, Indonesia, Korea, Malaysia, Singapore and Taiwan, supporting Nomura entities across the region.

Job Responsibilities:

• Provide daily compliance support in the advice and review of local legislative and financial regulatory requirements (example - MAS IAC regime, MAS FRC framework), as well as local and regional compliance policies including those relating to, among others, cross border business activities, individual accountability and conduct, personal account dealing, gift and entertainment and code of conduct.
• Support interactions with the financial regulators including coordinating dissemination of regulatory notifications and surveys, as well as managing and coordinating enquiries, regulatory meetings, inspections and investigations.
• Work collaboratively with the team and internal stakeholders on the analysis and assessment of key financial regulatory developments, consultations or discussion papers.
• Serve as a point of contact for regulatory licensing matters of representatives in Singapore, and work closely with team members to ensure all conditions and obligations associated with such licenses are complied with.
• Support with the investigation, escalation and reporting of suspected or actual breaches of financial regulatory requirements, internal compliance policies and standards, or other misconduct matters.
• Prepare and/or coordinate submission of periodic or ad hoc regulatory returns.
• Develop, review, and maintain local compliance policies and procedures.
• Take on ad hoc projects and/or other regulatory compliance-related work.

Job Requirements:

• Minimum Diploma in Finance, Business or Law.
• Minimum 4 years\' of compliance experience in banking, capital markets or audit.
• Experience in the Banking Act, Securities & Futures Act, Financial Advisers Act, as well as their subsidiary legislations including MAS notices and guidelines.
• Experience of interacting and managing relationship with local financial regulators, associations, and auditors.
• Experience in preparing and processing MAS license applications for representatives.
• Proactive, able to work independently in a fast-paced environment, and manage multiple tasks concurrently.
• Ability to communicate effectively and confidently, and to build and maintain strong relationships with internal stakeholders.

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.
DISCLAIMER : This is for reference only, and whilst this is intended to be an accurate reflection of the current job, it is not necessarily an exhaustive list of all responsibilities, duties, skills, efforts, requirements or working conditions associated with the job. The management reserves the right to revise the job and may, at his or her discretion, assign or reassign duties and responsibilities to this job at any time.

Nomura is an Equal Opportunity Employer

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