Central Compliance Officer

3 days ago

Singapore Nomura Asia Full time

Nomura Asia SingaporePosted 3 hours ago Permanent Competitive

**Job Title**:Central Compliance Officer, Asia
- **Corporate Title**:Associate
- **Division**:Legal, Compliance & Conduct (LCC), Asia
- **Department**:Compliance
- **Location**:Singapore**Job Type**:Permanent**Company and Function Overview**
- The**Key Responsibilities**
The
- **Central Compliance Officer **will report to Head of Central Compliance and provide general support across various ongoing as well as strategic initiatives as directed by Head of Central Compliance.
- Key focus areas of the Central Compliance Officer include:

- **Compliance Risk Assessment (CRA)**
- Work with CRA Working Group and/or Group Compliance to implement and administer the Global CRA framework in Asia
- Coordinate the Asia CRA periodic reviews (annual and light touch) in collaboration with assessment teams
- Act as the administrator of CRA system and oversee access rights and grouping assignments of all users in Compliance
- Support global CRA team and assessment teams on data update in back end interface
- Provide trainings or guidance on CRA system to all Asia Compliance staff and/or assessment teams
- Resolve issues flagged by assessment teams and escalate technical issues to global system administrator
- Develop result summary powerpoint for presentation to senior management
- **Compliance Testing**
- The Testing team is responsible for developing and maintaining the Asia Compliance Testing Minimum Standards (CTS) and framework. These standards set the minimum requirements for Asia Compliance teams performing compliance testing, and entails the development of a risk prioritized compliance testing plan and oversight over the implementation of the plan. The CRA results are one of the factors, amongst others, to be considered for areas to be tested, on a risk prioritized approach, taking into consideration various monitoring, assurance or audits (internal or external) that may have been undertaken in such areas, and the status of remediating any open findings.
- **Infrastructure Advisory Compliance**
- Coordinate and provide compliance advice pertaining to infrastructure matters impacting the operation of Nomura's business in the region (for example, new initiatives and changes to existing organizational structures and facilities, including new technologies, platforms, systems and vendor services).
- Act as initial gatekeeper for due diligence reviews of infrastructure related matters, coordinating supplemental and/or local advice from Country Compliance, Business Compliance and Specialist Compliance teams in Asia, as required (for example, outsourcing requests with global or regional impact, that requires coordination with country compliance officers on legal and regulatory implication and obligations.

**Requirements**:

- 4-6 years or above experience in Compliance or other Control functions
- Knowledge of Compliance Risk and Control operational framework
- Strong communication and interpersonal skills with the ability to confidently collaborate with other teams in Compliance
- Detail-oriented and organized team player with impeccable integrity
- Self-motivated and able to work with tight deadlines
- Proficient in Excel and Powerpoint
- University-level degree preferably in Economics, Finance, Business or Legal
- Job ID 3664

  • Central Compliance Officer

    3 days ago

    Singapore Nomura Asia Full time

    **Job Title**:Central Compliance Officer, Asia **Corporate Title**:Associate **Division**:Legal, Compliance & Conduct (LCC), Asia **Department**:Compliance **Location**:Singapore **Job Type**:Permanent **Company and Function Overview** The **Key Responsibilities** The **Central Compliance Officer **will report to Head of Central Compliance and...

  • Investment Bank

    2 weeks ago

    Singapore Black Swan Group Full time

    **The organisation offers you the chance to**: - Responsible for core compliance (e.g., registrations, licensing, gifts & entertainment, employee trading monitoring and conflicts) functions. - Assist in developing annual compliance test plan and carry out compliance risk assessment on core compliance areas. - Keep abreast of regulatory changes affecting the...

  • Investment Bank

    2 weeks ago

    Singapore Black Swan Group Full time

    Posted by: Richard Aldridge Recruiter View profile & contact Broad compliance role with a leading investment bank focusing on central compliance to foster a strong professional ethics culture. The role offers the privilege to work closely with seasoned financial crime compliance professionals, entails career progression and development. **The...

  • Compliance Officer

    2 weeks ago

    Singapore Guidepoint Global Full time

    **Overview** The Compliance Department is a collaborative team that proactively supports Guidepoint's global business. The team identifies and addresses areas of risk and advises internal stakeholders on new business initiatives and variations on existing products and conducts compliance training of internal employees. These efforts have created a premier...

  • Compliance Officer

    2 days ago

    Singapore Rhenus SE & Co. KG Full time

    Managing claims processing for Rhenus Logistics Asia Pacific (RLA&O) and Rhenus Warehousing Solutions (RWS), fostering effective communication and coordination with claim coordinators, entities, insurance brokers, and insurance companies. Conducting meticulous due diligence audits to assess compliance with the China Social Credit System (CSCS) and...

  • Compliance Officer

    4 days ago

    Singapore KIRIM UANG SINGAPORE PTE. LTD. Full time

    Our company is looking to hire a motivated compliance officer to guarantee that our business processes and transactions follow all relevant legal and internal guidelines. You will work closely with Regional Compliance Manager to manage all compliance processes and activity for the Singapore operations and ensure its adherence to regulations, rules and laws...

  • Compliance Officer

    2 weeks ago

    Singapore National University of Singapore Full time

    **Date**:4 Oct 2024 **Location**: UNIV ADMIN, Kent Ridge Campus, SG **Company**:National University of Singapore Purpose: The IACUC Compliance officer will provide compliance and administrative support to the IACUC in facilitating its role and functions in the oversight of NUS animal care and use programme. Duties and Responsibilities: - Perform...

  • Compliance Officer, Compliance

    1 week ago

    Singapore CLSA Full time

    A - Posted by Alicia Neo- Recruiter **Position Description** As a member of the Singapore Compliance team reporting to the Head of Compliance, Singapore, and with further support from head office, the incumbent will have the exciting opportunity to be given broad Compliance mandate which extends to a number of licensed entities in Singapore and multiple...

  • Compliance Officer, Compliance

    1 week ago

    Singapore CITIC CLSA Full time $104,000 - $130,878 per year

    Position DescriptionThis is a 6-month contractual (potentially extendable) position for a period of maternity leave coverage. As a member of the Singapore Compliance team reporting to the Head of Compliance, Singapore, and with further support from head office, the incumbent will have the exciting opportunity to support multiple business lines across a...

  • Nct - Fixed Term Contract Compliance Officer (Singapore) - Compliance

    7 days ago

    Singapore NOMURA SINGAPORE LIMITED Full time

    **Company overview** **Department overview**: **Role description**: The Compliance Officer will report to the VP of Central Compliance and will provide support across various ongoing run-the-bank and change-the-bank initiatives in relation to Country Compliance (Singapore) and Central Compliance, as directed by the VP of Central Compliance or the Head of...