Compliance Officer, Associate
1 week ago
Compliance Officer, Associate – Nomura – Hong Kong Job title: Compliance Officer, AssociateCorporate Title: AssociateDepartment: Compliance Control RoomLocation: Hong Kong Department overview The Nomura (or the “Firm”) Asia ex. Japan (“AEJ”) Control Room's main role is to ensure that the integrity of Nomura's Chinese Wall/information barrier remains intact. This is achieved by having appropriate segregation between certain businesses and a monitoring program to ensure no inappropriate disclosure of material and non-public information (MNPI). Some of the main functions of the Control Room are: Assessing and advising on matters related to (physical, technological, etc.) information barriers Maintaining the Firm's monitoring lists, such as the Watch and Restricted Lists Review and clearance of research Wall crossing reviews Reviewing and escalating conflicts of interest Review and escalation or approval of personal account dealing Review and approval of outside business interests Training on the above concepts Participate in global and regional initiatives which require Control Room input Responsibilities Liaise between the public and private sides of the Firm Review and assess public and private side information barrier assignments for employees Coordinate and manage the pre-deal research review process from the Compliance perspective Review wall crossing requests and elevate, as necessary Advise on and manage potential conflicts between Investment Banking and Research Review and approval of research notes Assess and investigate electronic communication surveillance findings, as needed Advise on and revise relevant policies and procedures, as requested Manage and coordinate the conflict check process for Investment Banking deals Participate in global projects to provide the perspective of the AEJ franchise Recommend, track and provide updates on assigned project implementations/enhancements to increase Control Room efficiency and meet audit and regulatory requirements Provide management information (MI), as needed Continue to enhance Control Room systems and procedures Assist with audit queries Interact with Compliance staff within Nomura's network, Front Office, Operations, Product Control, and Market Risk to advise on information barriers or conflict issues Work with product and country compliance teams to understand regulatory requirements, when necessary Skills, experience, qualifications and knowledge required Bachelor’s/Undergraduate degree preferably, but not required, in a relevant discipline (Finance, Accounting, Business, Legal) 4-8 years Control Room Compliance experience Good product knowledge across asset classes. Experience on Investment Banking transactions (IPOs, M&As, acquisition financing, etc.) Knowledge of local and global regulatory requirements and industry standard around information barriers and conflicts preferred Should be able to act decisively and independently in situations requiring quick analysis Should possess excellent issue spotting, analytical and resolution of conflicts skills Excellent negotiation and interpersonal skills Organized team player with impeccable integrity Articulate and excellent verbal, written, and presentation skills Analytical and problem-solving skills and able to expand issues when necessary Project management skills Seniority level Mid-Senior level Employment type Full-time Job function Other Industries Banking #J-18808-Ljbffr
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