Head of Compliance, Taiwan

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: Head of Compliance, Taiwan

Corporate Title: Executive Director

Department: Compliance

Location: Taiwan

1) Job/Group Overview:

The Compliance Department's role is to ensure that the Firm operates in accordance with the applicable laws and regulations of the exchanges and regulators. The Department provides compliance support for each of the main businesses – Global Markets, Investment Banking and Research, and their supporting corporate functions. In addition, Country Compliance function provides advice on general regulatory matters and is the main liaison with the Firm's regulators and handles all regulatory enquiries.

2) Responsibilities:

- Lead and manage the Country Compliance function in Taiwan

- Develop an effective compliance strategy, work closely with business and corporate stakeholders, and global counterparts

- Formulate and execute dynamic annual programs giving direction to the compliance function

- Provide leadership and development to the Country Compliance team

- Manage key external relationships with regulatory bodies

- Interact and advise at a senior level with the business, functional, country and regional management

- Proactively develop and execute strategies continually to move the compliance function forward in line with the changing nature of the market’s and the Firm’s business

- Provide regulatory updates to local and regional management

- Provide support to regional compliance team in managing cross border issues

- Handle regulatory inquiries, examinations and audits

- Advise business / corporate personnel on new rules and regulations which affect their business / function

- Establish / update policies and procedures in accordance with latest regulatory requirements, industry standards and group policy

- Provide compliance support to various firm-wide initiatives

- Participate in relevant industry group discussions

3) Requirements (indicate mandatory or/and preferred):

- University-level Degree preferably in a relevant discipline (Finance, Accounting, Business, Legal);

- 12+ years of experience in Compliance, Legal or regulatory functions possessing a broad knowledge of products

- An understanding of the key regulators in Taiwan, their culture, policies and expectations and an ability to understand the potential impact of overseas regulatory development. Strong relationship with regulators is a plus;

- Excellent negotiation and inter-personal skills; should be a solutions driven, confident, highly motivated and organized team player with impeccable integrity; should possess excellent issue spotting, analytical and resolution of conflicts skills;

- Should be able to act decisively and independently in situations requiring quick analysis;

- Excellent skill in spoken and written English.

- Have a strong track record in managing a compliance team with proven people management and leadership skills

- Vision and strategy to drive the compliance function forward

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