Vp, Compliance Monitoring and Surveillance Officer

5 days 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

  • Casino Surveillance Officer

    1 week ago

    Singapore Marina Bay Sands Full time

    Join to apply for the Casino Surveillance Officer (General Posting)role at Marina Bay Sands Join to apply for the Casino Surveillance Officer (General Posting)role at Marina Bay Sands Get AI-powered advice on this job and more exclusive features. LOVE WHAT YOU DO? THERE IS A PLACE FOR YOU HERE!Be part of our diverse and inclusive team. Job Responsibilities...

  • VP, Compliance Monitoring

    1 week ago

    Singapore Danos Group Full time

    Overview The role supports the Compliance team in ensuring the branch’s adherence to MAS, FINMA, and internal regulatory standards. Reporting to the Head of Compliance Advisory, the incumbent provides compliance advisory and executes monitoring programs across Private Banking and Treasury & Trading activities. Key Responsibilities Provide compliance...

  • Surveillance Regulatory Affairs Officer

    1 week ago

    Singapore Marina Bay Sands Full time

    Join to apply for the Surveillance Regulatory Affairs Officer role at Marina Bay Sands 2 weeks ago Be among the first 25 applicants Join to apply for the Surveillance Regulatory Affairs Officer role at Marina Bay Sands Get AI-powered advice on this job and more exclusive features. LOVE WHAT YOU DO? THERE IS A PLACE FOR YOU HERE!Be part of our diverse and...

  • Compliance Model Validator VP

    2 weeks ago

    Singapore Nomura Holdings, inc. Full time $120,000 - $200,000 per year

    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...

  • Regulatory Compliance Associate, Trade Surveillance

    1 week ago

    Singapore QCP Full time

    Regulatory Compliance Associate, Trade Surveillance QCP is Asia's leading digital asset partner, empowering clients to seamlessly integrate digital assets into their portfolios. We offer a comprehensive range of solutions - from spot on/off ramping and fixed income strategies to vanilla options and bespoke exotics. Driven by the vision to be the most trusted...

  • Regulatory Compliance Associate, Trade Surveillance

    2 weeks ago

    Singapore QCP Full time

    Regulatory Compliance Associate, Trade Surveillance QCP is Asia's leading digital asset partner, empowering clients to seamlessly integrate digital assets into their portfolios. We offer a comprehensive range of solutions - from spot on/off ramping and fixed income strategies to vanilla options and bespoke exotics. Driven by the vision to be the most...

  • Regulatory Compliance Associate, Trade Surveillance

    1 week ago

    Singapore QCP Group Full time

    QCP is Asia's leading digital asset partner, empowering clients to seamlessly integrate digital assets into their portfolios. We offer a comprehensive range of solutions - from spot on/off ramping and fixed income strategies to vanilla options and bespoke exotics. Driven by the vision to be the most trusted partner in digital asset markets, we provide...

  • Compliance Model Validator VP

    2 weeks ago

    Singapore Nomura Asia Full time

    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...

  • Sales Surveillance Officer

    5 days ago

    Singapore PRUDENTIAL ASSURANCE COMPANY SINGAPORE (PTE) LIMITED Full time

    The role of the Sales Surveillance Officer reports to Lead, Sales Surveillance. You are required to support the Lead of Sales Surveillance in administering the conduct risk framework and administering the Balanced Scorecard framework and sales advisory standards for the company. You are also required to perform investigation of any sales conduct related...

  • VP, Compliance Monitoring

    2 weeks ago

    Singapore Danos Group Full time $150,000 - $250,000 per year

    OverviewThe role supports the Compliance team in ensuring the branch's adherence to MAS, FINMA, and internal regulatory standards. Reporting to the Head of Compliance Advisory, the incumbent provides compliance advisory and executes monitoring programs across Private Banking and Treasury & Trading activities.Key ResponsibilitiesProvide compliance advisory...