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Nomura is a leading financial services group and the preeminent Asian-based investment bank with worldwide reach. Nomura provides a broad range of innovative solutions tailored to the specific client requirements through an international network in over 30 countries. Nomura's senior management places significant emphasis on business ethics, compliance and internal controls with a view in achieving long-term and sustainable business success.
The Compliance department partners with business and other corporate divisions to support and advance the firm's business and reputation, and manages the firm's regulatory compliance in areas of different products and transactions, conflicts of interest, and personnel licensing and dealings, etc, in an environment with dynamically evolving rules and regulations.
As a key member of the country compliance team, the successful candidate shall provide general compliance coverage on Hong Kong regulatory affairs while extending support on China and regional compliance matters in Asia ex-Japan.
Supervise and manage regulatory applications, regulatory inquiries, inspections, surveys and other communications with local regulators and, very occasionally, those of Japan, China and other countries
Collaborate with advisory compliance teams and offer compliance advice to business divisions and corporate functions on regulatory and compliance matters
Conduct analysis on securities and/or banking regulations and provide advice on regulatory implications of new regulations and/or business initiatives
Lead, drive, design and coordinate compliance projects, compliance reviews and internal investigations
Represent Compliance in cross-divisional work groups
Consult and liaise with external counsels and advisors as needed
Develop new compliance policies and procedures, review and enhance existing ones and draft related compliance alerts and other communications
Develop and enhance compliance training programs and conduct compliance trainings
Compile and/or review management reports for Group Compliance and regional senior management
Supervise, manage and coach less experienced members of the team
Provide other ad-hoc support to regional and country compliance heads.
Business related university degree and/or professional legal or accounting qualification
At least 8 years of regulatory and/or compliance experience
Good understanding of investment banking industry and Hong Kong securities regulations; knowledge in banking regulations and China securities regulations a plus
Experience in handling regulatory applications, inquiries, inspections and/or other regulatory matters
Good relationship with regulators and industry peers in Hong Kong and preferably also in Asia
Strong analytical skills, problem solving ability and attention to details
Excellent communication skills, written and verbal, in English and Chinese, with Mandarin a plus
Team player, with good interpersonal skills
Excellent time and project management skills
Self-motivated, strong sense of responsibility and impeccable integrity
Experience in managing a small team preferred
High proficiency in PC applications, including hands-on knowledge of Microsoft Word, Excel, Powerpoint and Outlook