Impress employers and recruiters.
Choose from hundreds of resume examples.

Impress employers and recruiters.
Choose from hundreds of resume examples.

Target Resume Now

About the Role

The Vice President, AEJ Compliance is responsible for providing strategic and operational direction for Nomura Asset Management International’s business across the Asia, excluding Japan, region. This role supports NAM International’s reputation, investment and distribution activities, and fosters a culture of ethical conduct and regulatory excellence.

Responsibilities

• Establish and maintain comprehensive compliance programs for NAM International’s operations in the Region.
• Set priorities for NAM International regional compliance initiatives.
• Provide strategic guidance to NAM International senior management on navigating complex regulatory environments.
• Provide compliance support for NAM International’s investment and distribution activities.
• Oversee NAM International’s fund distribution compliance functions in Region.
• Review and approval of marketing and promotional materials for investment management regulatory compliance and accuracy.
• Ensure marketing materials comply with local regulations and global firm policies.
• Serve as the point of contact for NAM International issue escalation and remediation in Region.
• Provide advice and guidance to employees relative to NAM International policies and procedures.
• Assist with the development, maintenance, and implementation of marketing related NAM International policies and procedures.
• Oversee investment compliance functions in Region.
• Monitor and ensure compliance with all applicable investment and trading related laws, regulations, and industry standards.
• Participate in the review and monitoring of clients' investment and regulatory guidelines.
• Review and analyze monitoring and exception reports.
• Develop, enhance, and maintain the incident and error process.
• 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.
• Advise on regulatory risks associated with new and existing business activities.
• Collaborate with other regions on regulatory developments related to NAM International.
• Ensure NAM International’s global compliance programs reflect unique aspects of regional operations, laws, regulations, cultural nuances, and personnel practices.
• Oversee compliance with SEC participating affiliate arrangements.
• 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.
• Oversee and support NAM International’s compliance staff in the Region.
• Foster collaboration and knowledge sharing across offices.
• Conduct regular compliance risk assessments and develop mitigation strategies.
• Integrate with global programs for consistency and best practices.
• Oversee investigations of potential compliance breaches.
• Prepare and present compliance reports to NAM International regional and global management.
• Ensure appropriate recordkeeping and documentation of compliance activities.

Requirements

• 10–15 years of related compliance experience within financial services, preferably with investment managers and funds.
• Proven track record of developing and managing high-performing compliance teams.
• 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.
• High integrity, ethical standards, and resilience under pressure.

Skills

• Broad knowledge of regional rules and regulations (e.g., ASIC, MAS, HKMA, JFSA, SEC) and regulatory frameworks.
• Strategic leader with an entrepreneurial mindset, able to drive innovation and 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.
• Fluency in English required; additional regional language skills advantageous

Location

• Australia, Sydney

Work Type

• Full-time

Experience Level

• Vice President
• 10-15 years

About the Company

• 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.

Equal Opportunity

• 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.
• Nomura is an Equal Opportunity Employer