Associate, Compliance Officer

Description:

Associate, Compliance Officer As the agency-model execution services arm of the Nomura Group, Instinet Incorporated subsidiaries provide brokerage services to clients in over 65 markets around the world. Through its advanced suite of electronic trading strategies, experienced high-touch trading group, top-ranked Commission Management services, award-winning desktop trading platform, and unparalleled access to insightful analytics, content and unique liquidity, Instinet helps institutions lower overall trading costs and ultimately improve investment performance. In the US, Instinet also offers a boutique-model Equity Research offering to assist their clients in the pursuit of alpha generation in a changing landscape. Over the course of its 45+ year history, Instinet has introduced a range of now industry-standard trading technologies and has been an innovator at the forefront of the market's evolution. For more information, please visit www.instinet.com.

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