Vp, Compliance Monitoring and Surveillance Officer

2 weeks ago

Singapore Nomura Asia Full time

**Company overview**

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

**Function Overview**:
The AEJ Monitoring and Surveillance Compliance team is responsible to implement systems and controls to detect potential market abuse/misconduct activities as well as internal Compliance policy breaches throughout the Asia-Ex-Japan markets, which includes Singapore, Hong Kong, Taiwan, Malaysia, India, Indonesia, Korea and Australia. It allows the firm to comply with its regulatory obligation and seeks to protect the interest of both the firm's clients and the firm itself.

**Responsibilities**:
The role and responsibilities include:

- Identifying new and emerging risks from business and regulatory developments and assessing their impact on the compliance surveillance programme
- Involvement in implementation projects to develop and maintain trade and Ecom surveillance technology
- Ensure that compliance surveillance activities are undertaken according to agreed procedures and frameworks. Making sure escalation processes are followed and all issues are escalated and closed out in a timely manner
- Ensure that surveillance models including their parameters are accurate and reflective of the regulatory environment
- Preparing reports to senior management/stakeholders regarding surveillance review findings
- Engaging within Compliance and with other internal stakeholders to facilitate a coordinated approach to compliance surveillance matters across the region.
- Work closely with other legal and compliance teams to review and conduct investigations when necessary
- Provide regular trainings for new hires and existing team member

**Requirements**:

- Knowledge across different asset and product classes required
- Proficient understanding of the surveillance and compliance process including experience in performing risk assessment and project management
- Knowledge of local and global regulatory requirements and industry standard around market abuse surveillance
- Experience in managing relationship with regulators and auditors
- Ability to work collaboratively with other regional and global partners
- Strong analytical, problem solving skills, and able to manage multiple projects.

**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

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