Job Title: COM-Business Compliance

Job Code: 6274

Country: IN

City: Mumbai

Skill Category: Compliance

Description:

Overview:

Nomura is an Asia-headquartered financial services group with an integrated global network spanning over 30 countries. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its four business divisions: Retail, Asset Management, Wholesale (Global Markets and Investment Banking), and Merchant 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

Nomura Services India, (Powai) supports Nomura’s businesses around the world. Powai’ s world class capabilities in trading support, research, information technology, financial control, operations, risk management and legal support have played a key role in facilitating Nomura’s global operations and are an integral part of Nomura’s global expansion plans. The Powai operation is a critical part of the platform to support the growth of Nomura’s global business.

Divisional Overview:

Powai LCC broadly covers the areas of Legal, Compliance and Conduct, and is responsible for building a robust risk and control framework. The Powai LCC teams support Nomura Powai entities, as well as LCC teams globally to ensure effective risk management of Legal, Compliance and Conduct related risks for the firm. Powai Legal comprises of the Corporate Legal and Transaction Legal functions, which provide advice and support on corporate, employment and transactional matters. The Offshore Legal team supports global teams on corporate and secretarial matters, Global Markets, and Masters documentation related requirements. Powai Compliance comprises of functions such as Core Compliance, Trade Surveillance, Electronic Communication Surveillance, Financial Crime Monitoring, Control Room & Disclosure Monitoring and Employee Compliance. The teams provide advisory and operations support to global / regional Compliance teams driven by global / regional policies and regulatory expectations.

Position Specifications

Corporate Title	Analyst
Experience	3 – 5 Years
Qualification	Graduate / Post-Graduate

Role & Responsibilities:

Be responsible for the preparation of different types of MIS for senior management, covering relevant details, rationale, and variance
Be responsible for working on project trackers and dashboards, and ensuring ongoing tracking and monitoring on timely basis
Participate in the annual budget exercise, review financials, and analyse actuals vs budget variances
Support with the preparation of various CAO – BCP related documents, including BIA, Recovery to Region, Call Tree details etc..
Track transition documents, SOWs and other relevant documentation for the team
Actively handle queries and questions from employees and management related to CAO activities
Prepare HC related MIS’ including charts, trend analysis and future movements covering Job Requisitions, Open Positions, Org Charts etc
Communicate with managers and business units on various initiatives
Provide support and co-ordinate on all types initiatives / projects within the CAO team, and partner with functional leads and managers for timely delivery
Provide support on various presentations, decks, and dashboards for senior management review covering KPIs, KRIs, HC, Cost etc.
Build relationships and liaise with critical stakeholders and partners

Mind Set:

	Mandatory	Desired
Domain / Technical	Experience in the Securities or Financial services industry Basic understanding of Investment Banking business and the Financial Regulatory environment Project Management and Relationship Management experience Strong knowledge of Microsoft Office products – Outlook, Excel, PowerPoint and Word Excellent communication skills (Written and Oral) with experience in dealing with external stakeholders Analytical skills with attention to details and accuracy Ability to multi task and prioritize Flexibility (willingness to Change) – ability to adapt effectively to changing plans and priorities, and to be open and flexible when faced with changing circumstances. Presentation, MIS reports development skills	Knowledge of advanced excel is desirable, Tech Savvy Detail-minded; be able to ensure data completeness and accuracy Acts proactively to increase efficiency
Interpersonal	Strong interpersonal and administrative skills, mature judgement, and high ethical standards Pro-active, with a mind set to drive efficiency Team player	Collaborates within and across teams, involving the right people Critical thinking, Risk Management, Conflict Management

Nomura Core Competencies:

Competencies	Behavioral Indicators
Culture & Conduct Building Nomura’s Culture Diversity & Inclusion Professional Integrity Self-Awareness	Contributes to desired culture Sets positive example Aware of different values/styles Holds high standards of behaviour Aware of own strengths/weaknesses
Client-Centricity & Business Acumen Commerciality Client-Centricity Analytical Thinking & Problem Solving	Understands current market Anticipates client needs Pays attention to detail Sees problems, recommends solutions
Strategy & Innovation Strategic Thinking & Change Decision Making & Judgment Agility	Balances alternative views Knows when to decide/when to escalate Champions new ideas Is both disciplined and entrepreneurial Sees when to escalate
Leadership & Collaboration Managing Talent Recognizing and Motivating Supporting, Developing & Collaborating with others Managing Conflict	Thinks differently Balances alternative views Knows when/how to compromise Learns from experience Seeks to develop
Communication & Connectivity Articulation & Receptiveness Impact Connectivity	Assists in recruiting Gives credit Builds productive working relationships Provides constructive, timely and specific feedback
Communication & Influence Articulation and Receptiveness Impact Connectivity	Adjusts style to suit topic Balances listening/talking Communicates with clarity and consideration Is a proven and credible resource Questions to understand others’ views Builds internal contact network Willingly effectively works across teams
Execution & Delivery Driving Performance Execution-Focus Planning & Organizing Adaptability	Demonstrates accountability/commitment Takes on challenging assignments Executes priority actions on-time Keeps stakeholders updated Manages expectations Persists when confronted with resistance

Equal Opportunity Employer:

Nomura is an equal opportunities employer. We are committed to providing equal opportunities throughout employment including in the recruitment, training and development of employees (including promotion, transfers, assignments and beliefs). We prohibit discrimination in the workplace whether on grounds of gender, marital or domestic partnership status, pregnancy, career’s responsibilities, sexual orientation, gender identity, race, color, national or ethnic origins, religious belief, disability or age. Our objective is to attract job applications and applications for development from the best possible candidates and to retain the best people.