Associate - Central Compliance Officer - Singapore - Nomura Asia

Nomura Asia
Nomura Asia
Verified Company
Singapore

3 weeks ago

Wei Jie

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Wei Jie

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Description

Company overview
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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.

Other Matters

  • Involvement in such other projects and initiatives as may be delegated. This includes but is not limited to supporting the conduct risk and culture agenda of the firm.

Requirements:


  • Minimum of 4 years experience in Compliance or Control functions
  • Working experience of Compliance Risk and Control operational framework in Financial Services
  • Working experience of Compliance Testing in a Financial Services business
  • Strong communication and interpersonal skills with the ability to confidently collaborate with other teams in Compliance
  • Detailoriented and organized team player with impeccable integrity
  • Selfmotivated and able to work with tight deadlines
  • Proficient in Excel and Powerpoint
  • Universitylevel degree preferably in Economics, Finance, Business or Legal

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

Job ID 3664
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