Associate, Compliance Officer

Job Description
Job Title: Compliance Officer
Corporate Title: Associate
Division: Compliance
Location: Singapore

Nomura Overview

Nomura is an Asia-headquartered 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 four business divisions: Retail, Asset Management, Wholesale (Global Markets and Investment Banking) and Merchant Banking. 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:

Nomura operates in a complex regulatory environment and the role of Compliance department is to ensure that the Firm operates in accordance with the applicable laws and regulations of the exchanges and regulators. Compliance department also works with all levels of the Firm to assist in the development and maintenance of a strong compliance culture and to support the embedding of appropriate behaviours within the firm's operating practices. Compliance department provides cover for each of the main businesses – Global Markets, International Wealth Management ("IWM") and Investment Banking/Research, in which Financial Crime Compliance team ensures the effective implementation of the Anti-Money Laundering ("AML") and Counter Financing of Terrorism ("CFT") Compliance regime in Nomura for its non-Japan Asia Pacific offices.

Role Description

Financial Crime Compliance Associate will be based in Nomura's Singapore office and reports to the Head of IWM Financial Crime Compliance, AEJ.

Key responsibilities include:

• Reviewing and analysing due diligence information on new and existing clients in order to meet all regulatory requirements.

• Analyse challenging or high-risk account opening situations and to make appropriate recommendations to Business whether to on board a client or maintain an existing relationship and other suitable recommendations as to appropriate controls to be put in place.

• Liaise with the salespersons and relevant stakeholders on account opening-related and KYC queries.

• Conduct enhanced due diligence and liaise with external investigative firms on investigation reports.

• Assess the background and rationale of client transactions with 3rd parties for potential financial crime risks.

• Support the FCC function in ad hoc projects.

Skills, experience, qualifications and knowledge required:

• University level Degree preferably in a relevant discipline (Finance, Accounting, Business, Legal)

• At least 3-5 years' experience related AML / KYC due diligence experience for high-net-worth clients and complex financial structures (such as trusts, personal investment vehicles, foundations etc.)

• Good understanding of relevant AML/CFT/laws and regulations.

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

• 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