Regional Head of NAM AEJ Compliance & Head of NAM Singapore Compliance

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: Regional Head of NAM AEJ Compliance & Head of NAM Singapore Compliance Corporate Title : Executive Director Department : Compliance Location: Singapore Licensed Role: No     Department Overview   NAM Compliance, within Asia ex-Japan (AEJ) Legal & Compliance function, partners with other corporate functions to serve and protect the firm as a second line of defence by identifying, analysing and mitigating compliance risks and to promote risk and control ownership across the firm and together with others foster a culture of ethics and compliance.

Role Overview: We are seeking a highly experienced asset management compliance professional to lead the NAM Singapore Compliance team while assuming regional responsibility for NAM Compliance across the AEJ region. This dual-mandate role combines:

Local Leadership:  Direct management of the NAM Singapore Compliance team Regional Oversight:  Strategic compliance leadership across AEJ markets including Hong Kong, Shanghai, Australia, and Malaysia

The successful candidate will possess deep expertise in asset management compliance across Singapore and the broader Asian region, with comprehensive knowledge of applicable regulatory regimes. This role requires forging strong relationships with key business stakeholders, ensuring adherence to all regulatory requirements whilst actively supporting business growth and strategic objectives   Role Description: Team Leadership & Management

Manage the NAM Singapore Compliance team (currently 4 direct reports) Provide regional oversight of NAM Compliance teams in Hong Kong, Shanghai, Australia, and Malaysia Foster collaboration with other Nomura offices across the region, including Nomura Group head office in Tokyo Provide vision and strategy to drive the NAM AEJ Compliance team forward

Strategic Partnership & Business Support

Build and maintain close relationships with NAM AEJ management Support NAM AEJ's strategic business objectives and growth initiatives Participate in relevant NAM governance committees and forums both in Singapore and regionally Support embedding and reinforcing an appropriate compliance and risk culture for NAM across the region

Compliance Framework & Governance

Oversee development and implementation of compliance standards, policies, procedures, frameworks, systems and controls to ensure applicable regulatory requirements are met for NAM in Singapore and regionally, including adopting technology/AI solutions and innovations where appropriate Monitor changes and developments in relevant laws and regulations and keep NAM AEJ management updated as required Participate in relevant governance committees and forums as required to keep up to date on industry practices and trends Coordinate submission of periodic or ad hoc regulatory reports to NAM AEJ management and head office in Tokyo

Daily Compliance Operations

Provide daily compliance support and advice on regulatory requirements applicable to the NAM business in Singapore and regionally, including:

Cross-border distribution matters New products and services Transactions and conflict assessment Investor events Gifts and entertainment Marketing materials

Oversee Guidelines Compliance for NAM Singapore - ensure adequate compliance checks against clients' guidelines on transactions are in place and