Nomura Overview
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 four business divisions: Wealth Management, Investment Management, Wholesale (Global Markets and Investment Banking) and 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.
Role Overview
We are seeking a highly experienced Compliance professional to take up the Head of Compliance Strategy role to lead the critical compliance initiatives across our organization in Asia, and serve as the primary liaison person with our Japan headquarters compliance team. This senior role will drive transformation projects, oversee comprehensive compliance testing programs, and provide compliance advisory to our Global Markets business, while ensuring seamless coordination with Japanese regulatory requirements and corporate governance standards and maintaining strong relationships with Japan headquarters.
Key Responsibilities
Transformation
- Lead, drive and execute the compliance transformation program to enhance organization compliance posture, with close collaboration with Head of Central Compliance
- Manage transformation projects timelines and deliverables, and coordinate with cross-functional teams to ensure successful program implementation
- Identify emerging compliance risks and develop proactive transformation strategies
Compliance Testing
- Develop and oversee the Annual Compliance Testing plan in partnership with Central Compliance Head
- Establish and enhance comprehensive compliance testing frameworks
- Coordinate testing activities across multiple business units in the region and ensure testing methodologies align with regulatory expectations and industry best practices
Compliance Advisory
- Serve as a subject matter expert in providing compliance advisory to the Global Markets business, together with the GM Compliance teams in the region
- Provide day-to-day compliance guidance on trading activities, market conduct and regulatory requirements
- Interpret and implement new regulatory changes affecting global market operations, and coordinate with Japan headquarters on cross-border implications as and when required
- Conduct compliance risk assessments for new products, services, and market activities
- Understand and keep up to date with the firm's business, products and the regulatory and commercial environment in which it operates to contribute to the implementation of appropriate compliance policies, procedures and standards
Liaison with Headquarters
- Act as the primary liaison person with our Japan headquarters compliance team on compliance / regulatory matters
Requirements
- Minimum Bachelor degree holder
- Minimum 15+ years of financial services experience, with minimum 10 years of direct Compliance experience and prior experience in supporting Japanese business due to being the primary liaison with Japan headquarters
- Fluency in both English and Japanese language (both written and spoken) in order to act effectively as the primary liaison between Japan headquarters and the Compliance team in the region
- Strong background in Global Markets compliance with good understanding of relevant products and regulations
- Strategic thinking with ability to translate regulatory requirements into business solutions across different cultural contexts
- Strong leadership and stakeholder management skills
- Excellent analytical and problem-solving skills
- Strong communication and interpersonal skills
- Experience in interpreting complex regulatory requirements and translating them into practical business guidance
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.
