Legal, Compliance and Conduct (LCC) CAO Support

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: Legal, Compliance and Conduct (LCC) CAO Support
Corporate Title: Associate
Department: Legal
Location: Hong Kong

 

Department overview:
This is an exciting opportunity to join the CAO team of Legal, Compliance and Conduct (“LCC”) function. The LCC team comprises lawyers, compliance and governance professionals who serve Nomura’s business across Investment Banking, Global Markets, Corporate and International Wealth Management divisions.

 

Role description:
This is a regional role based in Hong Kong, with primary reporting to the Regional Chief Administrative Office (CAO) for Asia Legal, Compliance and Conduct Department (LCC). Key responsibilities of this role include:

• Plan, coordinate and execute broad range of department events, including townhall, staff engagement activities, trainings, etc 
• Support CAO on financial activities, including budget planning, accruals, forecasting, cost allocations, expense review, etc
• Oversee the vendor onboarding and invoicing process including approval and clearance, governance and performance monitoring
• Provide support to CAO and management team in day-to-day operation and administration of departments, including but not limited to:
• Market data review and subscription
• Newsletters, announcement and periodic reminders
• Space planning and office restacks 
• Sharepoint and intranet management
• Business continuity planning
• Develop and coordinate input for regular management reports 
• Contribute to the Global LCC CAO team on global agenda and enquiries 
• Handle other ad-hoc projects or tasks as assigned by CAO or management team

 

Skills, experience, qualifications, and knowledge required:

• Bachelor Degree
• Minimum of 3 years of experience in financial industry, with prior experience in events execution, business management, finance or management support 
• Proficient in PowerPoint and Excel with hands on experience in powerpoint development, data analysis and pivot tables
• Superb interpersonal and stakeholder management skills. Able to build relationships across all levels and work well with stakeholders in other corporate functions
• Multi-tasking with strong prioritization skills. Able to work across changing and competing priorities
• Detail-oriented with numerical sense
• Flexible and self-motivated with rapid learning capacity
• Fluent in written and spoken English

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