Vp, Global Markets Compliance Officer

6 days ago

Singapore Nomura Asia Full time

**Company overview**

Aon's Benefit Index ®, Nomura's benefits
**rank**
**#1** amongst our competitors

**Job Overview**:
As part of the Global Markets Compliance team for Asia ex-Japan, provide compliance advisory/support to the Fixed Income segment of the Global Markets business in the Asia ex-Japan region.

**Responsibilities**:

- Providing day-to-day compliance advisory services to the Sales, Trading (Rates/FX) and Structuring desk under Fixed Income business (and their support functions, regarding the Firm's policy and relevant rules and regulations;
- Establishing / updating policies and procedures in accordance with latest regulatory requirements and firm policy;
- Reviewing new product/business requests from business and advising on any necessary controls / policies & procedures which would need to be put in place;
- Reviewing escalation of alerts raised by Compliance Surveillance team;
- Handling compliance breaches/incidents with internal stakeholders;
- Participating in and providing support to regional and global compliance projects/initiatives;
- Performing compliance review and risk assessment to identify gaps and make recommendations;
- Preparing and providing compliance training for business personnel;
- Handling regulatory inquiries, examinations and audits; and
- Participating in related industry trade groups.

**Requirements**:

- University-level Degree preferably in a relevant discipline (Finance, Accounting, Business, Legal);
- 8+ years working experience in global markets compliance, legal or regulatory functions possessing a broad knowledge of Fixed Income business. Experience in a trading floor environment with knowledge of Indian FPI business, Investment Banking and Research business is a plus;
- Good understanding of the key regulators in Asia ex-Japan, their culture, policies and expectations and an ability to understand the potential impact of overseas regulatory development;
- Excellent negotiating 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;
- Should be able to act decisively and independently in situations requiring quick analysis;

**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.

**DISCLAIMER**: This Job Description is for reference only, and whilst this is intended to be an accurate reflection of the current job, it is not necessarily an exhaustive list of all responsibilities, duties, skills, efforts, requirements or working conditions associated with the job. The management reserves the right to revise the job and may, at his or her discretion, assign or reassign duties and responsibilities to this job at any time.

Nomura is an Equal Opportunity Employer

  • Junior Compliance Officer

    5 hours ago

    Singapore VP Bank Ltd Singapore Branch Full time

    VP Bank Ltd was founded in 1956 and, with over 1'000 employees, ranks amongst the largest banks in Liechtenstein. VP Bank is present with offices in Vaduz, Zurich, Luxembourg, Singapore, Hong Kong and Road Town (British Virgin Islands). Its core competencies include the development of tailor-made financial solutions for intermediaries and private individuals...

  • Vp, Global Procurement

    5 hours ago

    Singapore Alcott Global Full time

    Our client is a high-tech company at the forefront of innovation in their industry. Their products are cutting-edge and they are dedicated to providing the best solutions to their customers. With a global presence, they are seeking a VP, Global Procurement to lead their procurement team. **Key Responsibilities**: - Develop and implement a global...

  • Compliance VP

    4 weeks ago

    Singapore CHARTERHOUSE PTE. LTD. Full time

    Roles & ResponsibilitiesCharterhouse is currently partnering with a global Hedge Fund to source for a Compliance VP/SVP. Reporting to the Regional Head of Compliance, the incumbent will provide compliance advise to front office on research and trading matters, ensuring adherence to regulations and provide compliance oversight to regional...

  • Senior Compliance Officer

    5 hours ago

    Singapore XTX MARKETS PTE. LTD. Full time

    **The Firm**: XTX Markets is a leading algorithmic trading company partnering with counterparties, exchanges and e-trading venues globally to provide liquidity in the Equity, FX, Fixed Income and Commodity markets. We provide consistent liquidity, helping market participants throughout the world obtain the best prices in the various assets classes we cover,...

  • Vp Compliance, Banking

    7 days ago

    Singapore WilsonHCG Singapore Full time

    WilsonHCG Singapore SingaporePosted 3 hours ago Hybrid Permanent competitive benefits - A leading bank is looking to hire VP Compliance to focuss on regulatory advisory across businesses. A leading bank is looking to hire VP Compliance to focuss on regulatory advisory across businesses. You will be responsible for the following - Provide compliance advisory...

  • Global Vp of Import

    1 day ago

    Singapore Alchemy Global Talent Solutions Full time

    We are partnering with a leading, global food and beverage company who are seeking a Global VP of Import & Export to join their team. Reporting into the Global VP of Supply Chain, you will lead the standardization and development of Import-Export activities globally. **Responsibilities;** - Take the helm of a cross-functional, integrated import-export...

  • Global Markets Technology

    2 days ago

    Singapore TENTEN PARTNERS PTE. LTD. Full time

    Global Markets Technology - AVP/VP Java Developer (Job Scope) - Mentor junior developers Global Markets Technology - AVP/VP Java Developer (Requirements) - 8+ years of Core Java/Java Spring development experience - Good experience with REST APIs - Experience in design is an advantage - Good understanding of multi-threading is a plus - Experience working...

  • Regulatory Compliance Officer, Avp/vp

    1 day ago

    Singapore Ambition Full time

    **Title** Regulatory Compliance Officer, AVP/VP **Description** Our client is a financial services provider under a global industrial group, looking for a "Regulatory Compliance Officer" to support both compliance and legal functions in Singapore. **Responsibilities**: Working Location: Central Singapore Reporting Line: General Manager - Legal...

  • Markets Compliance Vp/ Director

    5 hours ago

    Singapore Charterhouse-SG Full time

    **Job details**: - Location: - Singapore- Job Type: - Permanent- Discipline: - Banking & Financial Services- Reference: - BF/XK/MCVD/080623C- Posted: - about 2 hours ago- Consultant: - Xuan Kwok- Consultant Phone: - +65 6950 0354**Share this job**: **Job description**: Charterhouse Partnership is currently sourcing for a Markets Compliance VP/ Director....

  • Senior Compliance Officer, Global Markets

    1 day ago

    Singapore BNP Paribas Full time

    In Asia Pacific, BNP Paribas is one of the best-positioned international financial institutions with an uninterrupted presence since 1860. Currently with over 18,000 employees* and a presence in 13 markets, BNP Paribas provides corporates, institutional and private investors with product and service solutions tailored to their specific needs. It offers a...

  • Head of Compliance, Singapore

    1 day ago

    Singapore Telcoin Full time

    **Overview** Telcoin is a start-up fin-tech provider, utilizing block-chain technology to deliver cutting edge financial products and services. Telcoin is expanding rapidly, we now have operations in 9 countries and ambition to launch in many more. As part of our expansion, we are now looking to hire a Lead Compliance Officer in Singapore. We are are...

  • Compliance Associate, Global Macro Fund

    1 week ago

    Singapore DARMAX GLOBAL Full time

    M- Posted by - Michelle Tse- Principal Consultant Our client is a >USD3bil AUM global macro fund and they are currently looking for a compliance headcount in their Singapore office. **Responsibilities**: - Conduct regular compliance monitoring and surveillance activities. - Ensure compliance with regulatory requirements set by the MAS, SFC & FCA in...

  • Markets Compliance Officer

    1 week ago

    Singapore KS CONSULTING PTE. LTD. Full time

    Our client is seeking a skilled and proactive Compliance Officer to join our client’s, Markets Compliance Team. This critical role involves monitoring regulatory changes, providing compliance advice, and executing 2nd line compliance controls to support our FICC business. **Key Responsibilities**: - **Regulatory Monitoring**: Track and evaluate...

  • Vp, Regulatory Advisory Compliance

    6 days ago

    Singapore GIC Investment Full time

    Location: Singapore, SG- Job Function: Legal & Compliance Department- Job Type: Permanent- Req ID: 15316GIC is one of the world’s largest sovereign wealth funds. With over 2,000 employees across 11 locations around the world, we invest in more than 40 countries globally across asset classes and businesses. Working at GIC gives you exposure to an...

  • Global Compliance Officer

    6 days ago

    Singapore Hays Full time

    **Your new company** My client, one of the market leading crypto asset trading firm, is currently looking for **Global Compliance Officer **to work in their flagship Singapore office. This is an exceptional opportunity to join a best in class team at senior managerial level. Working for one of the market leading trading firm, this role offers the successful...

  • Banks - Financial Markets Compliance Advisory

    2 days ago

    Singapore Black Swan Group Full time

    Posted by: Richard Aldridge Recruiter View profile & contact Working on multiple vacancies ranging from AVP to VP seniority level with international banks, focusing on financial markets compliance. If you have experience providing compliance advisory in any of the FICC products and is open to great progression opportunity with APAC regional coverage, then...

  • Vp, Control Room

    1 week ago

    Singapore Qontelsearch Full time

    As a VP Compliance Officer, working in partnership with stakeholders and providing sound Compliance advice is a pivotal aspect of the role. This entails advising on insider trading and market abuse regulations, regulatory expectations on personal investment policy, conflicts of interest, and the Chinese wall framework. You will also undertake control...

  • Vp Global It

    6 hours ago

    Singapore Ethos BeathChapman Full time

    **Job Details**: **Location** Singapore **Salary** Competitive Salary **Job Type** Permanent **Ref** BH-17959 **Contact** Zain Hussain- **Posted** about 1 hour ago Keen to join the mission to revolutionize healthcare through technology? - Our client is seeking a dynamic and visionary individual to join as the VP Global IT for their thriving...

  • Compliance Officer

    2 weeks ago

    Singapore HOTEL101 GLOBAL PTE. LTD. Full time

    Roles & ResponsibilitiesCOMPLIANCE - SINGAPORELocation: SingaporeFull-Time, On-site, Competitive SalaryAbout Hotel101 GlobalHotel101 Global is an asset-light, prop-tech hospitality platform pioneering a globally standardized "condotel" business model. Hotel101 is poised to disrupt the hospitality industry by offering identical, standardized hotel rooms...

  • Avp/vp, Regulatory Advisory Compliance

    7 days ago

    Singapore GIC Investment Full time

    **Location**:Singapore, SG**Job Function**:Legal & Compliance Department**Job Type**:Permanent**Req ID**:16040 - GIC is one of the world’s largest sovereign wealth funds. With over 2,000 employees across 11 locations around the world, we invest in more than 40 countries globally across asset classes and businesses. Working at GIC gives you exposure to an...