Associate - Compliance Officer - Hong Kong

Nomura Asia
Hong Kong
Competitive Package
14 Aug 2017
18 Aug 2017
Contract Type

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


  • Handle regulatory inquiries, inspections, surveys and other communications with regulators in Hong Kong and, occasionally, China.
  • Work together with advisory compliance teams and offer compliance advice to business and other functions on regulatory and compliance issues. 
  • Conduct analysis on securities and/or banking regulations and provide advice on regulatory implications of various business initiatives. 
  • Coordinate compliance projects and management reporting for the Asia ex-Japan region. 
    Conduct compliance reviews and internal investigations. 
  • Develop and review compliance policies and procedures. 
  • Assist in developing compliance training programs and conduct compliance trainings. 
  • Provide other ad-hoc support to the country compliance head. 


  • Business related university degree and/or professional legal or accounting qualification 
  • 4-8 years of regulatory and/or compliance experience 
  • Good understanding of Hong Kong securities regulations; knowledge in banking regulations and China securities regulations a plus. 
  • Experience in handling regulatory applications, inquiries, inspections and/or other regulatory matters. 
  • Good relationship with regulators in Hong Kong and China preferred. 
  • Strong analytical skills, problem solving ability and attention to detail. 
  • Excellent communication skills, written and verbal, in English and Chinese, with Mandarin a plus. 
  • Team player, with good interpersonal skills. 
  • Excellent time and project management skills. 
  • Self-motivated, strong sense of responsibility and impeccable integrity. 
  • High proficiency in PC applications including hands-on knowledge of Microsoft Word, Excel and Powerpoint. 

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.