Vice President - Equities Compliance Officer - Hong Kong

Nomura Asia
Hong Kong, Hong Kong
Aug 22, 2017
Sep 07, 2017
Job Function
Industry Sector
Finance - General
Employment Type
Full Time

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 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. For further information about Nomura, visit


  • Providing day-to-day compliance advisory services to the Hong Kong / Asia ex-Japan Equities business regarding the Firm's policy, relevant regulatory requirements, and industry best practice; 
  • Advising business personnel on latest regulatory development, new rules and regulations which affect their business. Where necessary, establishing and updating existing compliance policies and procedures; 
  • Working with the global / regional Equities compliance teams to enhance standards of conducts and sharing updates on regulatory changes; 
  • Coordinating with Legal, New Products, Controllers, Operations, Credit, IT and other areas to ensure the appropriate controls and policies and procedures are in place for current and new businesses; 
  • Identifying any compliance risks and investigating actual or potential breach of relevant rules and regulations relating to Equities business. For example, benchmarking Nomura internal controls against regulatory enforcement actions on market participants; 
  • Dealing with ad hoc compliance issues and providing support to both front office and back office staff; 
  • Conducting compliance training for business personnel; 
  • Handling regulatory inquiries, examinations and audits. 
  • Working closely with disclosure of interest and trade surveillance teams to review and conduct investigations when necessary 
  • Conducing compliance reviews; and 
  • Participating in related industry practice groups 


  • College Degree minimum.  LLB, MBA, CPA, CFA, or equivalent is preferred but not a must
  • Over eight years direct experience in  regulatory or Equities compliance with broad knowledge of listed and OTC equities products, including cash equities, equity derivatives (plain vanilla and exotic), futures and options, etc
  • Knowledge on the disclosure of interests (DOI) requirements in Hong Kong and preferably in other Asia ex-Japan countries;
  • Preference will be given to candidate with Equities compliance experience based on trading floor in dealing with Equities sales, trading and capital market professionals and in advising such persons on real-time trading questions and scenarios
  • Strong preference will be given to candidate with good knowledge of regulatory requirements in Hong Kong and familiar with Asia ex-Japan restricted markets restricted market requirements, e.g. India, Korea and Taiwan
  • 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

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.

Similar jobs

Similar jobs