Associate, Compliance Officer

6 months ago

Sydney, Australia Nomura International Full time

Associate, Compliance Officer

**Purpose and Summary**

The compliance analyst will support the APAC compliance team (based in Sydney) with a focus on monitoring of staff compliance with internal policies, relevant rules and regulations and supporting the business with their daily compliance need. The role reports in to the General Counsel, Asia and part of the Regional Legal and Compliance function managed by the General Counsel, Asia.

**Responsibilities**
- Client monitoring/surveillance and KYC review
- Perform short sell reporting and other routine reporting to ASX and ASIC
- Compiling incident reports for APAC compliance incidents
- Support trade surveillance and reporting in Australia and Hong Kong markets
- Perform monitoring, testing and reviewing compliance controls in relation to staff compliance with firm's policies and procedures
- Perform monitoring, testing and reviewing compliance controls in relation to electronic trading
- Preparing compliance reports, management reports and other ad hoc compliance duties
- Liaising with global compliance teams to respond to regulator enquiries in offshore jurisdictions
- Liaising with Nomura's APAC compliance team as required
- Reviewing marketing material to ensure compliance with internal policies

**Requirements**:

- Bachelor's degree from an accredited University
- Minimum 2 year's experience in equities compliance within the financial services
- Strong knowledge of equities markets, regulations, and best practices
- Excellent interpersonal skills and ability to work independently
- A professional manner and willingness to learn and develop
- Detailed orientated with strong analytical and problem-solving abilities
- Excellent communication and interpersonal skills, with the ability to build strong relationships and collaborate effectively with stakeholders at all levels

**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 5189

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