Compliance Officer, Associate

Company overview

Nomura is a global financial services group with an integrated network spanning approximately 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Wealth Management, Investment 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 

Job title: Compliance Officer, Associate
Corporate Title: Associate
Department: Compliance Control Room
Location: Hong Kong

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:

•    Liaise 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)

• years Control Room Compliance experience 

•    Good product knowledge across asset classes. Experience on Investment Banking transactions (IPOs, M&As, acquisition financing, etc.)

•    Knowledge of local and global regulatory requirements and industry standard around information barriers and conflicts preferred

•    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

•    Articulate and excellent verbal, written, and presentation skills

•    Analytical and problem-solving skills and able to escalate issues when necessary

•    Project management skills

Nomura Competencies

Explore Insights & Vision
-   Identify the underlying causes of problems faced by you or your team and define a clear vision and direction for the future.
Making Strategic Decisions
-   Evaluate all the options for resolving the problems and effectively prioritize actions or recommendations.
Inspire Entrepreneurship in People
-    Inspire team members through effective communication of ideas and motivate them to actively enhance productivity.
Elevate Organizational Capability
-    Engage proactively in professional development and enhance team productivity through the promotion of knowledge sharing. 
Inclusion 
-    Respect DEI, foster a culture of psychological safety in the workplace and cultivate a "Risk Culture" (Challenge, Escalate and Respect).

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 Job Description 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