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 three business divisions: Retail, Asset Management, and Wholesale (Global Markets and Investment Banking). Founded in 1925, the firm practices disciplined entrepreneurship while building on a long tradition of serving clients with creative solutions and considered thought leadership. For further information about Nomura, visit www.nomura.com.
Responsibilities: Core Control Room functions
Maintain effective Control Room operations such as wall crossing assessment and approval, conflict clearance, Watch/Restricted Lists update, research reports clearance and Chinese Wall review
Review and approve Staff Dealing requests, Outside Business Interest and Gifts & Entertainment expenses
Review surveillance escalations (e.g. e-comm surveillance, staff dealings) relating to Investment Banking and Research staffs
Monitor and manage proper interactions between Investment Banking and Research
Provide guidance to offshore compliance functions supporting staff dealings review and Control Room surveillance
Associate is expected to review Pre-deal, i.e. Investors Education, research and its guidelines, and advise research analysts and bankers on investors education matters e.g. analyst roadshows, cool off period, blackout e.t.c.and conduct Compliance training
Regulatory issues relating to Investment Banking, Research, Chinese Wall, Staff Dealing and Conflict management
Internal policy reviews, revisions and executions
Review of control framework and the robustness of policies and procedures
Investigation and reporting of potential policy breaches
Private Side Compliance Global Working Group driven initiatives
Relevant Compliance experience or experience of key control functions such as Risk or Internal Audit. 4 years or above for Associate. 1-3 years for Analyst.
Outstanding written and spoken English language skills (strong Chinese language skills a plus)
Excellent project management and presentation skills
Able to work independently with tight deadlines
Regional Disclaimers / 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.