Department: Compliance (Nomura Asset Management International)
Location: Australia, Sydney
Department Overview:
The Vice President, AEJ Compliance is responsible for providing strategic and operational direction for Nomura Asset Management International's ("NAM International") business across the Asia, excluding Japan, region ("Region").
Role Overview:
The Vice President, AEJ NAM International will work with a high degree of autonomy, under the general direction of the Head of Distribution Compliance supporting NAM International, to establish and maintain robust compliance programs tailored to the unique regulatory, cultural, and operational landscape of NAM International, while ensuring alignment with the Firm's global standards. This role is essential to safeguarding NAM International's reputation, supporting investment and distribution activities, and fostering a culture of ethical conduct and regulatory excellence.
The Vice President, AEJ Compliance will partner with Nomura's regional compliance team, including the Head of Compliance for Nomura AEJ and Nomura Australia Limited with respect to regulator engagement, financial crimes, and the implementation of policies that apply broadly to employees in the region, including personal conduct, personal trading, outside business investments and activities, and electronic communications surveillance.
Role Description:
1. Strategic Compliance Leadership:
* In partnership with the compliance leadership team, establish and maintain comprehensive compliance programs for NAM International's operations in the Region.
* Set priorities for NAM International regional compliance initiatives, ensuring these are incorporated into NAM International global compliance programs and plans.
* Provide strategic guidance to NAM International senior management on navigating complex and challenging investment and distribution regulatory environments.
2. Investment & Distribution Compliance:
* Provide compliance support for NAM International's investment and distribution activities, ensuring alignment with global frameworks and local requirements.
* Oversee NAM International's fund distribution compliance functions in Region, including:
o Review and approval of marketing and promotional materials for investment management regulatory compliance and accuracy
o Ensure materials comply with local regulations and global firm policies, including cross-border requirements.
o Point of contact for NAM International issue escalation and remediation in Region; provide timely advice and guidance to employees relative to NAM International policies and procedures.
o Assist with the development, maintenance, and implementation of marketing related NAM International policies and procedures.
* Oversee investment compliance functions in Region, including:
o Monitor and ensure compliance with all applicable investment and trading related laws, regulations, and industry standards relating to the review and monitoring of clients, including funds, investment guidelines and regulatory restrictions.
o Participate in the review and monitoring of clients' investment and regulatory guidelines.
o Review and analyze monitoring and exception reports.
o Develop, enhance, and maintain the incident and error process to ensure timely escalation to compliance senior management and other key stakeholders.
3. Regulatory Advisory & Engagement:
* Work with Nomura's regional compliance team to assist in managing regulatory relationships in the region as it relates to NAM International.
* Develop and maintain effective relationships with business partners, industry peers, trade associations, and regulatory bodies in coordination with Nomura's regional compliance.
* Advise on regulatory risks associated with new and existing business activities, enabling well-informed business decisions.
* Collaborating with other regions on regulatory developments related to NAM International to ensure consistency across global NAM International programs and policies.
4. Regional Program Customization:
* Ensure NAM International's global compliance programs reflect unique aspects of regional operations, laws, regulations, cultural nuances, and personnel practices.
5. Oversee compliance with SEC participating affiliate arrangements, including monitoring, documentation, and training.
6. Education & Training:
* Advise, direct, develop, and deliver NAM International education curricula and materials based on regional needs.
* Collaborate on NAM International global education and training program.
* Promote a strong compliance culture through ongoing communication and engagement.
7. Oversee and support NAM International's compliance staff in the Region, including hiring, professional development, and performance evaluations.
8. Foster collaboration and knowledge sharing across offices, building a high-performing team.
9. Conduct regular compliance risk assessments and develop mitigation strategies.
10. Integrate with global programs for consistency and best practices.
11. Oversee investigations of potential compliance breaches, coordinating with legal and risk teams as necessary, and Nomura regional compliance.
12. Reporting & Governance:
* Prepare and present compliance reports to NAM International regional and global management, including metrics and analysis of compliance issues and trends.
* Ensure appropriate recordkeeping and documentation of compliance activities.
Skills, experience, qualifications, and knowledge required:
* 10–15 years of related compliance experience within financial services, preferably with investment managers and funds.
* Broad knowledge of regional rules and regulations (e.g., ASIC, MAS, HKMA, JFSA, SEC) and regulatory frameworks.
* Proven track record of developing and managing high-performing compliance teams.
* Strategic leader with an entrepreneurial mindset, able to drive innovation and change.
* Experience working in a global, matrixed organization; ability to collaborate across domestic and international teams.
* Ability to thrive in unstructured situations, set priorities, and shift quickly when priorities change.
* Excellent written and oral communication skills, with the ability to present confidently to large groups and senior management.
* Strong relationship-building skills, leveraging internal and external networks to benefit the firm and enhance its industry reputation.
* Capable of synthesizing and conveying complex regulatory and policy information clearly and simply to key stakeholders.
* High integrity, ethical standards, and resilience under pressure.
* Fluency in English required; additional regional language skills advantageous
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