Regional Head of NAM AEJ Compliance & Head of NAM Singapore Compliance

Company overview

Nomura is a global financial services group with an integrated network spanning approximately 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Wealth Management, Investment Management, and Wholesale (Global Markets and Investment Banking). Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought leadership. For further information about Nomura, visit www.nomura.com

 

Job Title: Regional Head of NAM AEJ Compliance & Head of NAM Singapore Compliance

Corporate Title: Executive Director

Department: Compliance

Location: Singapore

Licensed Role: No

 

 

Department Overview

 

NAM Compliance, within Asia ex-Japan (AEJ) Legal & Compliance function, partners with other corporate functions to serve and protect the firm as a second line of defence by identifying, analysing and mitigating compliance risks and to promote risk and control ownership across the firm and together with others foster a culture of ethics and compliance.

Role Overview:

We are seeking a highly experienced asset management compliance professional to lead the NAM Singapore Compliance team while assuming regional responsibility for NAM Compliance across the AEJ region. This dual-mandate role combines:

• Local Leadership: Direct management of the NAM Singapore Compliance team
• Regional Oversight: Strategic compliance leadership across AEJ markets including Hong Kong, Shanghai, Australia, and Malaysia

The successful candidate will possess deep expertise in asset management compliance across Singapore and the broader Asian region, with comprehensive knowledge of applicable regulatory regimes. This role requires forging strong relationships with key business stakeholders, ensuring adherence to all regulatory requirements whilst actively supporting business growth and strategic objectives

 

Role Description:

Team Leadership & Management

 

• Manage the NAM Singapore Compliance team (currently 4 direct reports)
• Provide regional oversight of NAM Compliance teams in Hong Kong, Shanghai, Australia, and Malaysia
• Foster collaboration with other Nomura offices across the region, including Nomura Group head office in Tokyo
• Provide vision and strategy to drive the NAM AEJ Compliance team forward

 

Strategic Partnership & Business Support

 

• Build and maintain close relationships with NAM AEJ management
• Support NAM AEJ's strategic business objectives and growth initiatives
• Participate in relevant NAM governance committees and forums both in Singapore and regionally
• Support embedding and reinforcing an appropriate compliance and risk culture for NAM across the region

 

Compliance Framework & Governance

 

• Oversee development and implementation of compliance standards, policies, procedures, frameworks, systems and controls to ensure applicable regulatory requirements are met for NAM in Singapore and regionally, including adopting technology/AI solutions and innovations where appropriate
• Monitor changes and developments in relevant laws and regulations and keep NAM AEJ management updated as required
• Participate in relevant governance committees and forums as required to keep up to date on industry practices and trends
• Coordinate submission of periodic or ad hoc regulatory reports to NAM AEJ management and head office in Tokyo

 

Daily Compliance Operations

 

• Provide daily compliance support and advice on regulatory requirements applicable to the NAM business in Singapore and regionally, including:
• Cross-border distribution matters
• New products and services
• Transactions and conflict assessment
• Investor events
• Gifts and entertainment
• Marketing materials

 

• Oversee Guidelines Compliance for NAM Singapore - ensure adequate compliance checks against clients' guidelines on transactions are in place and rectify and report identified irregularities

 

Training & Communication

 

• Oversee the provision of training on new or updated compliance policies and procedures and refresher training where required
• Draft and issue Compliance Alerts where necessary

 

Regulatory Relations & Investigations

 

• Handle regulatory inquiries, examinations and internal/external audits
• Liaise with regulators in conjunction with relevant Nomura Country Compliance teams as required
• Experience in dealing with regulators, particularly the Monetary Authority of Singapore (MAS)
• Investigate client complaints, errors and incidents to identify potential compliance/control lapses as required

 

Cross-Functional Collaboration

 

• Liaise and work closely with internal legal counsel and external lawyers as required
• Collaborate with other Nomura and/or NAM Compliance teams (and other corporate functions such as HR, Audit) both within and outside the region
• Support company secretarial matters for NAM Singapore as required

 

Skills, experience, qualifications and knowledge required:

• 15+ years of experience in regulatory compliance with a primary focus on asset management compliance.
• 10+ years experience in the asset management industry, products and services as well as the relevant financial regulations in Singapore and across in Asia insofar as they apply to an asset management business.
• Experience leading an asset management compliance team in Singapore and more widely in Asia.
• Minimum Bachelors Degree or equivalent preferably in relevant discipline.
• Excellent analytical skills, problem-solving ability and attention to detail.
• Strong written and verbal communication skills with the ability to engage effectively with internal stakeholders, regulators, and business partners.
• Vision and strategy to drive the NAM AEJ Compliance team forward.
• Experience in dealing with regulators, in particular MAS.
• Team player, enthusiastic, flexible, eager to learn/teach, self-motivated, strong sense of responsibility with impeccable values and integrity.

Nomura Leadership Behaviours

 

• 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 inclusion and psychological safety in the workplace and cultivate a "Risk Culture" (Challenge, Escalate and Respect).

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