Vice President - Compliance CAO - Asia ex-Japan

Nomura Asia
Hong Kong
06 Sep 2017
14 Sep 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 


The Vice President, will reporting to the Head of Compliance, Asia ex. -Japan, responsible towill:

  • Provide business administration support to and controls for Compliance management including such as:
    • Cost and Hheadcount management
    • Procurement and Eexpense controls and approval management
    • Business Ccontinuity planning
    • Records Mmanagement
    • Space planning
    • Developing and managing departmental controls
  • Coordinate and support Compliance Rregional Bbudgeting and Fforecasting processes
  • Manage Iindirect Aallocations of Compliance costs to other divisions:
    • Working with Compliance management to devise the most suitable Ensuring timely reviews of allocation drivers for their function. Ensuring they are reviewed and revised in a timely manner.
    • Liaising with global counterparts on inter-regional allocation
  • Manage Compliance monthly MIS management reporting and breach reporting processes
  • Coordinate Compliance Risk Control Self-Assessment process and monitor Internal Audit issues  
  • Liaise and support Global CAO team mandates and priorities
  • Participate in a Bbroad range of ad-hoc tasks, including providing support to various Compliance internal projects, Rregulatory inspections support, Oon-site / Ttownhall preparation, etcspace planning
  • Ensure timely departmental communications across teams
  • Supervise a small offshore team in providing the above business administrative support to Compliance management


  • Degree holder in Accounting, Business Administration or relevant disciplines.
  • At least 8 years of experience in a similar environment and/or business management function.
  • Superior interpersonal skills, with the ability to work well with senior management, and engage stakeholders across the business to drive strategic agendas.
  • Strong prioritisation and project management skills.
  • Supervisory experience in a multinational environment.
  • A team player, possessing ability to build relationships and partnerships
  • MS Office knowledge is essential

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.