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Nomura is an Asia-headquartered 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 practices disciplined entrepreneurship while building on a long tradition of serving clients with creative solutions and considered thought leadership. For further information about Nomura, visit www.nomura.com.
Position / Group Overview:
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.
Support the Team Head in managing the CRA and testing processes such as but not limited to:
Proactively enhancing the Global Framework, and AEJ Guidance and processes
Leading the AEJ CRA program (including developing/maintaining procedures & tools, developing and managing the training program, providing CRA guidance, performing actual assessments, validating and/or quality checking of assessments and action plans, consolidating and reporting results, tracking action plan status, and linking results, if appropriate, to compliance plans/programs/testing)
Overseeing the smooth & proper delivery of CRA services by the Global Offshore Services team
Representing the team (for & on behalf of the team head, if unavailable) when CRA team presence is required
Develop and/or conduct compliance reviews and testing
Assist in any risk and control processes and initiatives in AEJ Compliance
Assist in handling regulatory inquiries, requests from auditors and other parties.
Provide other ad-hoc support to the Head of Compliance (AEJ) and other team heads, include any regional/global management reporting.
Business related university degree and/or professional legal or accounting qualification.
Minimum 8 years of compliance, risk and control, and/or audit experience, preferably with regional exposure, and including at least 3 years in supervisory or project leader/manager positions. Compliance Risk Assessment experience is a plus or preferred.
Very good understanding of AEJ securities and/or banking regulations; knowledge in China and Asian securities and banking regulations a plus. Experience in handling regulatory inquiries, inspections and/or other regulatory matters, is also a plus.
Strong analytical skills, problem solving ability and attention to detail.
Excellent communication skills, written and spoken, in English.
A good project leader and manager, with excellent interpersonal and coordination skills.
Self-motivated and independent with a strong sense of responsibility and impeccable integrity.
High proficiency in PC applications including hands-on knowledge of Microsoft Office applications (Word, Excel and Powerpoint), and Access, a plus.
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.