Associate - Singapore Regulatory Compliance Officer

4 days ago

Singapore NOMURA SINGAPORE LIMITED Full time

**Company overview**

**Function Overview**

**Responsibilities**:

- Provide daily compliance support in the advice and review of local legislative and financial regulatory requirements (example - MAS IAC regime, MAS FRC framework), as well as local and regional compliance policies including those relating to, among others, cross border business activities, individual accountability and conduct, personal account dealing, gift and entertainment and code of conduct.
- Support interactions with the financial regulators including coordinating dissemination of regulatory notifications and surveys, as well as managing and coordinating enquiries, regulatory meetings, inspections and investigations.
- Work collaboratively with the team and internal stakeholders on the analysis and assessment of key financial regulatory developments, consultations or discussion papers.
- Serve as a point of contact for regulatory licensing matters of representatives in Singapore, and work closely with team members to ensure all conditions and obligations associated with such licenses are complied with.
- Support with the investigation, escalation and reporting of suspected or actual breaches of financial regulatory requirements, internal compliance policies and standards, or other misconduct matters.
- Prepare and/or coordinate submission of periodic or ad hoc regulatory returns.
- Develop, review, and maintain local compliance policies and procedures.
- Take on ad hoc projects and/or other regulatory compliance-related work.

**Job Requirements**:

- Minimum Diploma in Finance, Business or Law.
- Minimum 4 years’ of compliance experience in banking, capital markets or audit.
- Experience in the Banking Act, Securities & Futures Act, Financial Advisers Act, as well as their subsidiary legislations including MAS notices and guidelines.
- Experience of interacting and managing relationship with local financial regulators, associations, and auditors.
- Proactive, able to work independently in a fast-paced environment, and manage multiple tasks concurrently.
- Ability to communicate effectively and confidently, and to build and maintain strong relationships with internal stakeholders.

**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**_SFID: _**3463

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