Fixed Term Contract Compliance Officer

JOB DESCRIPTION

Job title: Compliance Officer    

Corporate Title: No Corporate Title

Department: Compliance

Location: Singapore

Company overview

Nomura is a global financial services group with an integrated network spanning over 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Retail, Wholesale (Global Markets and Investment Banking), and Investment Management. Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought leadership. For further information about Nomura, visit

Department overview:

The Asia Financial Crime Compliance team is responsible for all financial crime compliance matters in the region, which includes Singapore, Hong Kong, Taiwan, Malaysia, India, Indonesia, Korea and Australia. The primary role is to assist Senior Management in managing the financial crime risks of the firm and ensure the effective implementation of the financial crime regime in Wholesale Division (including Global Markets and Investment Banking Division of Nomura, Asia ex-Japan. The ambit of financial crime includes Anti-Money Laundering ("AML"), Counter-Financing of Terrorism ("CFT") and Anti-Bribery and Corruption ("ABC").

Role description:

The Associate will be based in Nomura's Singapore office and reports to the Vice President of Financial Crime Compliance ("FCC").

The roles and responsibilities include the following:

•    Support the FCC team in maintaining the relevant AML/CFT & ABC controls, and programs for the region.

•    Support the International Wealth Management business and relevant stakeholders in identifying and mitigating Financial Crime related risks in the review of high-risk clients & transactions including (but not limited to) politically exposed person hits, negative media alerts and KYC documentation related advisory support. 

•    Conduct enhanced due diligence, where required to critically review any areas of heightened Financial Crime risk for further escalation.

Skills, experience, qualifications and knowledge required:

•    At least 3 years of relevant Financial Crime experience working in a Financial Institution, preferably from the Banking or Securities Sector with presence across Asia. 

•    Good understanding of relevant AML/CFT laws and regulations across Asia, in particular Hong Kong and Singapore.

•    Sound knowledge of Wealth Management products

•    Strong analytical skills with an investigative mind-set 

•    Ability to communicate clearly and confidentially; able to influence internal and external stakeholders

•    Ability to directly address conflicts and escalate issues where appropriate

•    Good team player, proactive and able to adapt quickly

 

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