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Associate - Global Markets Compliance Officer – Hong Kong
May 9, 2018
Nomura is an Asia-based 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.
As part of the Global Markets Compliance team for Asia ex-Japan, provide compliance support to the Equities segment of the Global Markets business in the region, including compliance advisory (new products, new regulations), drafting/updating internal policies/procedures, establishing controls and providing compliance training.
Assist in providing advisory support to the Equities business (Research Sales, Sales Trading, Equity Derivatives, Delta-1 and Prime Services etc.) in different product groups (Cash Equities, Equity Derivatives, Futures & Options etc.) regarding the Firm's policy and the relevant rules and regulations;
Identify potential compliance and reputational risks, and make effective escalation
Provide assistance in enforcing the Firm's policy and relevant rules and regulations;
Provide assistance on ad-hoc investigations including data gathering, analysis and documentation of results
Establish / update policies and procedures in accordance with regulatory requirements and firm policy;
Coordinate with relevant parties including Legal, New Products, Controllers, Operations, Risk, IT and other areas to ensure the appropriate controls and policies and procedures are in place for new businesses;
Provide compliance training for business personnel;
Assist in handling regulatory inquiries, examinations and audits;
University-level Degree preferably in a relevant discipline (Finance, Accounting, Business, Legal);
3 to 5 years' experience in compliance or regulatory functions possessing a broad knowledge of Equities products.
An understanding of the key regulators in Hong Kong, their culture, policies and expectations and an ability to understand the potential impact of overseas regulatory development;
Good communication and inter-personal skills; should be a solutions driven, confident, highly motivated and organized team player with impeccable integrity; should possess excellent issue spotting, analytical and resolution of conflicts skills;
Ability to work multiple tasks concurrently
Should be able to act decisively and independently in situations requiring quick analysis;
Excellent skill in spoken and written English. Mandarin and Cantonese would be added advantage.
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.