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Analyst/Associate - Control Room Compliance Officer - Hong Kong
January 5, 2018
Position/Group Overview Control Room, Investment Banking and Research Compliance in Asia ex-Japan (AeJ) region provides core Compliance support to Nomura's Research and private side businesses and assists the businesses in maintaining appropriate control framework and complying with the relevant policy and regulatory requirements. Candidate will primarily be responsible for supporting core Control Room functions and have active interactions with Investment Banking and Research businesses supported operationally by offshore functions and be key participant in global and regional Private Side Compliance projects.
Responsibilities Core Control Room functions o Maintain effective Control Room operations such as wall crossing assessment and approval, conflict clearance, Watch/Restricted Lists update, research reports clearance and Chinese Wall review o Review and approve Staff Dealing requests, Outside Business Interest and Gifts & Entertainment expenses o Review surveillance escalations (e.g. e-comm surveillance, staff dealings) relating to Investment Banking and Research staffs o Monitor and manage proper interactions between Investment Banking and Research o Provide guidance to offshore compliance functions supporting staff dealings review and Control Room surveillance o Associate is expected to review Pre-deal, i.e. Investors Education, research and its guidelines, and advise research analysts and bankers on investors education matters e.g. analyst roadshows, cool off period, blackout e.t.c. and conduct Compliance training
Investment Banking Compliance-related o Provide Compliance support of transactions originated by the AEJ Investment Banking Dept. o Play key role in maintenance of investment banking compliance policies and procedures o Perform conflict check and co-ordinate response to identified conflicts o Approve entertainment expenses of IBD staff o Provide training as required o Perform Hong Kong IPO Sponsor annual review
Project involvement o Regulatory issues relating to Investment Banking, Research, Chinese Wall, Staff Dealing and Conflict management o Internal policy reviews, revisions and executions o Review of control framework and the robustness of policies and procedures o Investigation and reporting of potential policy breaches o Private Side Compliance Global Working Group driven initiatives
Relevant Compliance experience or regulatory experience. 4 years or above for Associate. 1-3 years for Analyst.
Outstanding written and spoken English language skills (strong Chinese language skills a plus)
Excellent project management and presentation skills
Able to work independently with tight deadlines
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.