Associate - Equities Compliance Officer - Global Markets Compliance - Hong Kong
Nomura
Hong Kong
1天前

Nomura is an Asia-based 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.

Job description

  • This group provides compliance coverage to Asia ex-Japan Equities business (Sales and Trading, Equity Derivatives, Delta One, Prime Services and Futures & Options etc).
  • Providing support to other compliance initiatives / projects for Asia ex-Japan Global Markets business

  • You will provide day-to-day compliance advisory services to the Asia ex-Japan Equities business and their support functions regarding the Firm's policy, relevant regulatory requirements, and industry best practice;
  • Keep track of regulatory requirements, review and maintain compliance policies and procedures;
  • Performing compliance review and investigation and identify gaps and make recommendation;
  • Compiling response for regulatory inquiries, reporting and surveys; and
  • Conducting compliance training for business personnel.
  • Key Experience & Skills

  • College Degree minimum. Degree holder of Law, Accounting, Finance, Business or other related disciplines.
  • 2-4 years of relevant working experience in Compliance, Audit, and Operations with broad knowledge of Equities products and exposure to Global Market business.
  • Excellent negotiating, language and inter-personal skills; should be a proactive, solutions driven, confident, highly motivated and organized team player with impeccable integrity;
  • should possess excellent issue spotting, analytical and resolution of conflicts skills

  • Able to act decisively and independently in situations requiring quick analysis
  • Good communication and inter-personal skills; Reliable with integrity, responsibility and strong commercial sense; should be a solutions driven, highly motivated and organized team player;
  • Ability to work multiple tasks concurrently
  • Excellent skill in spoken and written English. Cantonese and Mandarin would be added advantage.
  • 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.

    报告这项工作
    checkmark

    Thank you for reporting this job!

    Your feedback will help us improve the quality of our services.

    申請
    郵箱地址
    通過點擊“持續”,我允許neuvoo同意處理我的數據並向我發送電子郵件提醒,詳見neuvoo的 隱私政策 。我可以隨時撤回我的同意或退訂。
    持續
    申請表