Vice President

**Nomura Overview**

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, Investment Banking and International Wealth Management). Founded in 1925, the firm practices disciplined entrepreneurship while building on a long tradition of serving clients with creative solutions and considered thought leadership.

**Division (Region) overview**:
Legal, Compliance & Controls (LCC) Division comprises of Legal, Compliance, Operational Risk departments and the Conduct Office. In Singapore, the Division has over 53 employees.

**Responsibilities**
- Key point of contact for licensing of representatives in Singapore and for ensuring that all conditions and obligation associated with such licenses are complied with.
- Advising on and monitoring compliance of local legislative/financial regulatory requirement and local or regional Compliance policies and procedures by the business and corporate functions including those relating to, among others, individual accountability and conduct, personal account dealing, gift and entertainment and code of conduct.
- Reviewing, developing and maintaining local compliance policies and procedures and providing input on regional policies, procedures and training material.
- Coordinating with relevant stakeholders and ensuring timely submission of (regular and ad-hoc) MAS reports and submissions.
- Assisting with suspected or actual breaches of financial regulatory requirements, internal compliance policies and standards, or other misconduct matters and management of regulatory issues arising therefrom, including breach reporting and other notifications to the applicable regulators and, where necessary, internal stakeholders.
- Maintaining local financial services registrations and licences of Nomura Singapore entities and overseeing compliance with the conditions of, and obligations associated with the licences issued by the local financial regulatory authorities
- Liaising with external auditors on requests and queries relating to Compliance and, where necessary, coordinating with the relevant Compliance teams on collation of information and responses.
- Disseminating to and coordinating responses from internal stakeholders to regulatory surveys.
- Prepare regular reports for submission to local and regional management.
- Provide advice on general compliance matters.
- Take on ad hoc projects and other related work.

**Requirements**:

- Must possess a degree in Business/Finance/Accountancy or similar.
- Must have at least 8 years of relevant experience in banking or financial services.
- Strong interpersonal and communications skills to manage stakeholders at various levels within the organisation.
- Ability to achieve practical/commercial solutions within applicable regulator risk parameters.
- Ability to build and maintain strong relationships with internal stakeholders.
- Ability to work both independently and collaboratively with colleagues.
- Enthusiastic, flexible and eager to learn.

**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: 1217648