Central Compliance Officer

2 weeks 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 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

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