Chief Compliance Officer
Nomura Bank (Luxembourg) S.A.
33 rue de Gasperich - Building A, L-5826 Hesperange, Luxembourg
il y a 3j

Job Description

The Compliance Department is responsible to protect Nomura Bank (Luxembourg) S.A. (the Bank ), its affiliates and customers from any damage that might result from the failure to comply with their regulatory obligations and assist the Executive Management in monitoring and mitigating compliance risks in line with the risk appetite of the Bank and Nomura Group.

In order to support our Compliance function, we are looking for a highly qualified and experienced professional for the position of Chief Compliance Officer.

The position requires a mature individual who has acquired considerable experience in compliance, governance and financial regulation fields.

The Chief Compliance Officer will oversee, coordinate and handle all regulatory and compliance matters within the Bank and its affiliates (including a Luxembourg SuperManco as well two Cayman Islands trustees).

The Chief Compliance Officer will report directly to the Authorised Management with a direct access to the Board of Directors and with additional matrix management structure requiring close cooperation with other Nomura Group offices in EMEA and Japan.

Your main tasks will be to :

  • Continually reinvent the Compliance function, manage and support the Compliance department.
  • Identify and monitor regulatory requirements and market trends which may impact the business activities of the Bank and its affiliates.
  • Communicate with the Executive Management, Regulatory Steering Committee and the Business Units to reasonably ensure that the Bank and its affiliates constantly meet high standards of regulatory compliance and professional business conduct.
  • Develop mitigating controls and ensure their effectiveness.

  • Ensure that Compliance Program is adequately designed to the size and complexity of the business. Monitor the effectiveness and suitability of the compliance testing plan, follow-
  • up on the effective resolution of any identified issue.

  • Support the business development initiatives of the Executive Management of the Bank and its affiliates through advices on any potential regulatory challenges.
  • Take the lead of Anti-Money Laundering / Counter Terrorism Financing efforts of the Bank together with its affiliates and act as Money Laundering Reporting Officer (MLRO).
  • Promote an effective Compliance culture, monitor the respect of the ethical code of conduct and ensure staff awareness.
  • Manage relationships with the regulatory and enforcement Authorities.
  • Please be aware that in accordance with the law of July 23, 2016, the selected candidate will be requested to provide a criminal record (section 3)

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