Fixed Term Contract, Compliance Officer

JOB DESCRIPTION
Job title: Fixed Term Contract, Compliance Officer
Corporate Title: No Corporate Title
Department: Compliance
Location: Singapore

Department overview:
The SG Country Compliance team applies specialist local regulatory knowledge to support management of
compliance risk arising at a country level. They maintain local registrations and licenses and maintain
relationships with key local financial regulators, acting as a primary contact point for regulatory notifications,
enquiries, inspections and investigations.

The Central Compliance team apply specialist knowledge to support management of compliance risk
regionally. The activities of the Central Compliance team include Conduct Risk Management, Compliance
Risk Assessment/Testing, Infrastructure Compliance Advisory, and the management of Compliance Policies,
Standards and Reporting.

Role description:
The Compliance Officer will provide support across various ongoing run-the-bank and change-the-bank
initiatives in relation to Country Compliance (Singapore).
Key focus areas include:
Country Compliance (SG)
Serve as a point of contact for regulatory licensing matters in Singapore, and work closely with team
members to ensure all conditions and obligations associated with entity and individual licenses are
complied with.
Provide ongoing compliance support in the advice and execution of Nomura's regulatory obligations on
areas as assigned, as well as local and regional compliance policies.
Support Nomura with addressing regulatory requests, including coordinating dissemination of
regulatory notifications and surveys, as well as managing and coordinating enquiries, regulatory
meetings, inspections and investigations.
Support with the investigation, escalation and reporting of suspected or actual breaches of financial
regulatory requirements, internal compliance policies and standards, or other misconduct matters.
Prepare and/or coordinate submission of periodic or ad hoc regulatory returns.
Preparation of management information/ reporting materials
Central Compliance
Involvement in any other projects and initiatives, as may be assigned

Skills, experience, qualifications and knowledge required:
7 15 years of experience in Regulatory Compliance function
Self-motivated and able to work with tight deadlines
Exceptional interpersonal and communication skills, both written and verbal, with professional and
approachable demeanor
Systematic, detail oriented and organized team player with impeccable integrity
Proactive, self-motivated and able to work with tight deadlines
Proficient in Excel and PowerPoint

Nomura Competencies

Explore Insights & Vision

• Identify the underlying causes of problems faced by you or your team and define a clear vision and direction for the future.

Making Strategic Decisions

• Evaluate all the options for resolving the problems and effectively prioritize actions or recommendations.

Inspire Entrepreneurship in People

• Inspire team members through effective communication of ideas and motivate them to actively enhance productivity.

Elevate Organizational Capability

• Engage proactively in professional development and enhance team productivity through the promotion of knowledge sharing.

Inclusion

• Respect DEI, foster a culture of psychological safety in the workplace and cultivate a Risk Culture (Challenge, Escalate and Respect).