Central Compliance Officer

1 day ago

Singapore Nomura Asia Full time

Nomura Asia SingaporePosted 3 hours ago Permanent Competitive

**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
- Job ID 3664

  • Central Compliance Officer

    1 day 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...

  • Compliance Manager

    2 days ago

    Singapore HARBRIDGE PARTNERS Full time

    Compliance Manager (Central / Core Compliance)Our Client is an international financial services firm with a strong online and execution brokerage arm. Due to growing business needs, a newly created Compliance Manager for their Central / Core Compliance Team is required. Responsibilities: Acting as the primary liaison with the Monetary Authority of Singapore...

  • Investment Bank

    1 week ago

    Singapore Black Swan Group Full time

    **The organisation offers you the chance to**: - Responsible for core compliance (e.g., registrations, licensing, gifts & entertainment, employee trading monitoring and conflicts) functions. - Assist in developing annual compliance test plan and carry out compliance risk assessment on core compliance areas. - Keep abreast of regulatory changes affecting the...

  • Compliance Manager

    2 weeks ago

    Singapore Office of Risk Management and Compliance Full time

    **Posting Start Date**:21/01/2025 About ORMCAt NUS Office of Risk Management and Compliance (ORMC), we not only manage risks to build the University’s resilience but also help shape them into opportunities to empower the community. We will continually support and partner with our stakeholders within the University to make this possible. DATA PRIVACY -...

  • Compliance Officer

    2 weeks ago

    Singapore Duke-NUS Medical School Full time

    **Posting Start Date**:16/12/2024 Purpose: The IACUC Compliance officer will provide compliance and administrative support to the IACUC in facilitating its role and functions in the oversight of NUS animal care and use programme. Duties and Responsibilities: - Perform administrative functions at the IACUC Office e.g. co-ordinate meetings, produce monthly...

  • Compliance Officer/ Compliance/ Resident Manager

    1 week ago

    Singapore AMICORP TRUSTEES (SINGAPORE) LIMITED Full time

    The role requires an experienced Compliance professional with proven Risk Management and Compliance experience in financial, accounting services or trust & fiduciary services, who will be accountable to run an efficient and effective Compliance function that ensures that all enterprise risks are monitored, compliance policies are adhered to and addressed...

  • Compliance Officer/ Compliance/ Resident Manager

    1 week ago

    Singapore AMICORP TRUSTEES (SINGAPORE) LIMITED Full time

    The role requires an experienced Compliance professional with proven Risk Management and Compliance experience in financial, accounting services or trust & fiduciary services, who will be accountable to run an efficient and effective Compliance function that ensures that all enterprise risks are monitored, compliance policies are adhered to and addressed...

  • Compliance Officer/ Compliance/ Resident Manager

    6 days ago

    Singapore AMICORP TRUSTEES (SINGAPORE) LIMITED Full time

    The role requires an experienced Compliance professional with proven Risk Management andCompliance experience in financial, accounting services or trust & fiduciary services, who will beaccountable to run an efficient and effective Compliance function that ensures that all enterprise risks are monitored, compliance policies are adhered to and addressed while...

  • Senior Compliance Officer, Compliance

    1 week ago

    Singapore CLSA Full time

    Overview Join to apply for the Senior Compliance Officer, Compliance role at CLSA . The Senior Compliance Officer will report to the Head of Compliance Singapore and is a generalist role with a broad Compliance mandate spanning multiple licensed entities in Singapore and multiple business lines, including institutional cash equities sales and trading,...

  • Associate - Compliance Officer (Singapore)

    2 weeks ago

    Singapore NOMURA SINGAPORE LIMITED Full time

    **Company overview** Aon’s Benefit Index®, Nomura’s benefits **rank **#1 **amongst our competitors **Key Responsibilities** The **Compliance Officer **will report to the Regional Conduct Risk Officer and will provide support across various ongoing run the bank and change the bank initiatives in relation to Country Compliance (Singapore) and Central...