Job Description

Job details

Job Title: VP - Infrastructure Advisory Compliance Officer

Job Code: 1214448
Skill Category: Compliance
Location: Singapore Client Job Ref:

Job Type: Permanent
Post Start Date: 5 Apr 2022
Post End Date:

Job Summary:

Nomura Overview

Nomura is a Global 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.

Function Overview

As a second line of defence function, Compliance is responsible for establishing a compliance risk management framework and supporting the first line functions in their identification, assessment and management of compliance risk arising in the course of daily operations. In this role, Compliance independently monitors compliance risks and reports on such risks to senior management in the region.

As a member of the compliance team, the successful candidate will primarily support the Head of Infrastructure Advisory Compliance team (team head) and work closely with other compliance teams in the region to provide holistic compliance advice mainly to infrastructure matters (activities/processes that aid and cut across most businesses/corporate divisions). In addition, he/she will also support the team head to manage the AEJ Compliance Risk Assessment (CRA) program, and may lead/participate in any compliance projects or reviews.

Key Responsibilities:

• Support the team head in serving as the initial gatekeeper and/or providing compliance advice for Infrastructure matters in AEJ, including:
• dealing with and/or managing requests for advice from sponsors and/or project managers (globally/ regionally/ locally) for various initiatives/changes impacting most, if not all, AEJ businesses/corporate divisions
• analyzing AEJ securities and/or banking regulations' impact
• working together with other compliance teams (advisory, specialist, country, and central) to come up with a holistic compliance advice for AEJ
• overseeing the Infrastructure Advisory Compliance support in Powai (India)

• Develop and/or review compliance policies and procedures
• Develop and/or conduct compliance training programs
• Support the team head in managing the AEJ Compliance Risk Assessment program (including overseeing the Powai CRA operations)
• Lead, coordinate, and/or assist in any assigned compliance projects and any management reporting for the Asia ex-Japan region.
• Assist in handling regulatory inquiries, and requests from auditors and other parties.
• Design and/or conduct compliance reviews or any health checks
• Provide other ad-hoc support to the team head.

Requirements

• Business related university degree and/or professional legal or accounting qualification.
• Minimum 8 years of regulatory, compliance, and/or audit or risk and control experience, preferably with regional exposure, and including at least 3 years in supervisory or project leader/manager positions.
• Good understanding of AEJ securities and MAS banking regulations; knowledge on securities and banking regulations, a plus.
• Experience in providing compliance advice on business process changes or initiatives, and handling financial regulatory inquiries/inspections/other regulatory matters
• Experience in overseeing hub operations/support (especially overseas), preferred
• Very strong analytical skills, problem solving ability, and great attention to detail.
• A good project leader and manager, with excellent interpersonal and coordination skills.
• Self-motivated/starter, and independent with a strong sense of responsibility and impeccable integrity.
• High proficiency in PC applications including hands-on knowledge of Microsoft Word, Excel and PowerPoint.

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.