Nct - Global Markets Compliance Officer - Legal

7 days ago

Singapore NOMURA SINGAPORE LIMITED Full time

**Nomura Overview**

**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 (e.g. Corporate, Family Office and Private Bank) 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;
- 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 and knowledge of 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;
- Excellent skill in spoken and written English. Mandarin and Cantonese would be an added advantage.

**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.
**TS ID: 1219914

  • Senior Compliance Officer

    2 weeks ago

    Singapore XTX Markets Full time

    Overview XTX Markets is a leading algorithmic trading firm which uses state-of-the-art machine learning technology to produce price forecasts for over 50,000 financial instruments across equities, fixed income, currencies, commodities and digital assets. It uses those forecasts to trade on exchanges and alternative trading venues, and to offer...

  • Senior Compliance Officer

    1 week ago

    Singapore XTX Markets Full time

    Overview XTX Markets is a leading algorithmic trading firm which uses state-of-the-art machine learning technology to produce price forecasts for over 50,000 financial instruments across equities, fixed income, currencies, commodities and digital assets. It uses those forecasts to trade on exchanges and alternative trading venues, and to offer...

  • Senior Compliance Officer

    2 days ago

    Singapore XTX Markets Full time

    Get AI-powered advice on this job and more exclusive features. Overview The Firm XTX Markets is a leading algorithmic trading firm which uses state-of-the-art machine learning technology to produce price forecasts for over 50,000 financial instruments across equities, fixed income, currencies, commodities and digital assets. It uses those forecasts to...

  • Senior Compliance Officer

    2 weeks ago

    Singapore XTX Markets Full time

    Overview XTX Markets is a leading algorithmic trading firm which uses state-of-the-art machine learning technology to produce price forecasts for over 50,000 financial instruments across equities, fixed income, currencies, commodities and digital assets. It uses those forecasts to trade on exchanges and alternative trading venues, and to offer differentiated...

  • Senior Compliance Officer

    5 days ago

    Singapore XTX Markets Full time

    Get AI-powered advice on this job and more exclusive features. Overview The Firm XTX Markets is a leading algorithmic trading firm which uses state-of-the-art machine learning technology to produce price forecasts for over 50,000 financial instruments across equities, fixed income, currencies, commodities and digital assets. It uses those forecasts to trade...

  • Legal Counsel

    4 days ago

    Singapore CMC Markets Full time

    Legal Counsel **About CMC Markets**: CMC Markets is a global leader in CFD trading and share investing. Our vision is to provide the ultimate online trading experience so everyone can achieve their financial potential. Since our launch in London in 1989, we've expanded globally with offices across Europe and Asia Pacific. Over 1.2 million clients make 67...

  • Senior Compliance Officer

    2 weeks ago

    Singapore XTX Markets Full time

    Overview XTX Markets is a leading algorithmic trading firm which uses state-of-the-art machine learning technology to produce price forecasts for over 50,000 financial instruments across equities, fixed income, currencies, commodities and digital assets. It uses those forecasts to trade on exchanges and alternative trading venues, and to offer differentiated...

  • Legal Counsel

    7 days ago

    Singapore CMC Markets Full time

    About CMC Markets: CMC Markets is a global leader in CFD trading and share investing. Our vision is to provide the ultimate online trading experience so everyone can achieve their financial potential. Since our launch in London in 1989, we’ve expanded globally with offices across Europe and Asia Pacific. Over 1.2 million clients make 67 million trades...

  • Senior Compliance Officer

    1 day ago

    Singapore XTX Markets Full time

    Overview XTX Markets is a leading algorithmic trading firm which uses state-of-the-art machine learning technology to produce price forecasts for over 50,000 financial instruments across equities, fixed income, currencies, commodities and digital assets. It uses those forecasts to trade on exchanges and alternative trading venues, and to offer...

  • Head of Legal

    2 weeks ago

    Singapore SD Legal Full time

    OverviewOur client is a fast growing multi-office APAC business, focused on the consumer segments. As a hands on legal leader you will work directly with the CEO to handle daily operations, mid-term projects and overall direction of the business.ResponsibilitiesTake lead on all transactional aspects including acquisitions, investments and fund-raising across...