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Vice President - GM Front Office Supervision - Global Markets - Hong Kong
January 5, 2020
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.
Coordinating Global Markets front office supervision deliverables across the global business:
Ensuring adherence to regional supervisory procedures, whilst maintaining global consistency of approach where appropriate
Delivery of Global Markets front office requirements as defined within the overall FOSP project plan
Front Office Operational Risk activities:
Coordinating Front Office RCSA (Risk Control Self Assessments) process, ensuring correct prioritisation, participation, frequency and challenge of outputs. Where necessary work closely with relevant business leads and supervisors to prioritise remediation of control weaknesses
Analysing all front office risk indicators / data points (FOS key risk indicators, RCSA and Operational Risk Targeted Risk Assessments) to identify trends or areas of potential heightened operational risk and where necessary escalate to senior management
Monitoring of Operational Risk Events and tracking timely closure across the business and escalation where necessary
Internal Audit Issue Management:
Monitoring of on-going Global Markets Audit reviews engaging IA in constructive dialogue ahead of finalisation of audit findings
Monitoring of Global Markets Audit reviews and points focussing on timely closure of Audit issues across the business and escalation to business leads where necessary
Taking an active role supporting business management in the regular review of Conduct Risk KRIs and dashboards as far as applicable to AeJ and work with business management and relevant control functions to respond to identified conduct issues
Working closely with business leads, supervisors and key control functions - including Finance, Compliance and Operational Risk - to ensure the effective regional implementation of new global and regional regulatory requirements with an impact on operational risk & control
Key Experience & Skills
At least 7 years in Supervision, Operational Risk Management or internal control function
A good understanding of regulatory and supervision standards and requirements including experience of working with key risk indicators, performance metrics, and multiple data sets.
A strong understanding of investment banking products and services including Equity and FICC trading, Sales, Origination and Research, processes and the associated controls
An ability to remain objective and to independently raise areas of risk exposure
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.