Job Title: COM-Business Compliance

Job Code: 9508

Country: IN

City: Mumbai

Skill Category: Compliance

Description:

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

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.

Nomura 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.

Nomura Services, India supports the group’s global businesses. With world-class capabilities in trading support, research, information technology, financial control, operations, risk management and legal support, the firm plays a key role in facilitating the group’s global operations.

At Nomura, creating an inclusive workplace is a priority. Our approach to inclusion encompasses a variety of initiatives, including sensitization campaigns, implementing conducive policies & programs, providing infrastructure support and engaging in community events. Over time, we have made meaningful progress in these areas, and this commitment has been well-recognized across the industry. We are proud recipients of the prestigious Top 10 Employers award by the India Workplace Equality Index (IWEI), IWEI Gold Employer of Choice awards, India CSR Leadership Award 2024 for Holistic Village Development Program and the YUVA Unstoppable Changemaker Awards.

Divisional Overview:

Powai Legal and Compliance broadly covers the areas of Legal, Compliance and is responsible for building a robust risk and control framework. The Powai Legal and Compliance teams support Nomura Powai entities, as well as Legal and Compliance teams globally to ensure effective risk management of Legal, Compliance 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.

Business Unit Overview:

The independent CAO function actively supports and advances Powai Legal and Compliance's vision through several key initiatives. It designs and drive strategic initiatives that align with and propel Powai Legal and Compliance's goals. The team manages financial operations with precision and foresight, ensuring optimal resource allocation and fiscal health. The team Implements and maintains a robust administrative framework for both Powai and Offshore CAO activities, with a strong focus on enhancing control and governance measures. The team leads the globalization project by spearheading the transformation journey thereby fostering a culture of innovation and continuous improvement within the team, encouraging proactive problem-solving and creative solutions.

Position Specifications

Corporate Title	AVP
Experience	10- 12 years
Qualification	Graduate/Post graduate
Requisition No.	9508

Role & Responsibilities:

Develop and implement PMO frameworks, methodologies, and governance structures
Oversee project portfolio management
Monitor project performance, RAID management across all areas for emerging risks / issues
Create and maintain project management templates, tools, and documentation
Lead project status reporting and executive communications
Manage project budget tracking and financial reporting
Track deadlines and ensure timely project delivery
Facilitate project review meetings and steering committee sessions
Drive continuous improvement of PMO processes and methodologies
Drive cost optimization and efficiency programs
Act as single point of contact for all stakeholders and manage inbound and outbounds communications
Co-ordinate and deliver Various MIS /dashboards /packs for senior management review
Lead process standardization and automation initiatives

Mind Set:

	Mandatory	Desired
Domain / Technical	10-12 years of relevant experience in the financial industry. Prior experience in Compliance or Risk and Control functions including independent review, reporting, operational risk and control framework development / implementation. Possess excellent communication and organisation skills and be able to manage multiple projects. Previous experience working on operating model and technology implementation projects where the two aspects are closely aligned Previous experience in business requirements gathering, process analysis and business process redesign Ability to manage multiple stakeholder communities with varying levels of experience Ability to conduct key stakeholder and sponsor interactions with sensitivity and maturity Ability to take feedback, and build strong partnerships with stakeholders (business owners and functional SMEs) of the programme Ability to effectively escalate and resolve cross-regional stakeholder conflicts Ability to develop impactful written presentations and participate effectively in meetings Ability to work under limited supervision (‘self-starter’) in unstructured environments Ability to work flexibly to accommodate global working patterns Intellectual strength / flexibility to rapidly understand complex problems and rationalise these into a workable solution which can then be delivered High level of drive, commitment to achieving solutions and ability to work under pressure Familiarity with documentation tools (e.g. Confluence, Visio, Powerpoint etc.) Desired: Certifications in business analysis and/or project management are advantageous.	Relevant Compliance /Operational Risk professional qualifications are an added advantage but not essential. Possess financial services knowledge and experience, ideally in capital markets / investment banking context. Be a self-starter and display a proactive approach. Flexibility (willingness to Change) – ability to adapt effectively to changing plans and priorities, and to be open and flexible when faced with changing circumstances.
Interpersonal	Have excellent communication and IT skills (Word, Excel, PowerPoint). Have strong attention to detail and produce accurate reports	Collaborates within and across teams, involving the right people Critical thinking, Risk Management, Conflict Management

Mandatory

Desired

Domain / Technical

10-12 years of relevant experience in the financial industry.
Prior experience in Compliance or Risk and Control functions including independent review, reporting, operational risk and control framework development / implementation.
Possess excellent communication and organisation skills and be able to manage multiple projects.
Previous experience working on operating model and technology implementation projects where the two aspects are closely aligned
Previous experience in business requirements gathering, process analysis and business process redesign
Ability to manage multiple stakeholder communities with varying levels of experience
Ability to conduct key stakeholder and sponsor interactions with sensitivity and maturity
Ability to take feedback, and build strong partnerships with stakeholders (business owners and functional SMEs) of the programme
Ability to effectively escalate and resolve cross-regional stakeholder conflicts
Ability to develop impactful written presentations and participate effectively in meetings
Ability to work under limited supervision (‘self-starter’) in unstructured environments
Ability to work flexibly to accommodate global working patterns
Intellectual strength / flexibility to rapidly understand complex problems and rationalise these into a workable solution which can then be delivered
High level of drive, commitment to achieving solutions and ability to work under pressure
Familiarity with documentation tools (e.g. Confluence, Visio, Powerpoint etc.)
Desired: Certifications in business analysis and/or project management are advantageous.

Relevant Compliance /Operational Risk professional qualifications are an added advantage but not essential.
Possess financial services knowledge and experience, ideally in capital markets / investment banking context.
Be a self-starter and display a proactive approach.
Flexibility (willingness to Change) – ability to adapt effectively to changing plans and priorities, and to be open and flexible when faced with changing circumstances.

Interpersonal

Have excellent communication and IT skills (Word, Excel, PowerPoint).
Have strong attention to detail and produce accurate reports

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

Nomura Leadership Behaviours:

Leadership Behaviours	Description	Element
Exploring Insights & Vision	Comprehensively analyse the nature of the problems we face and set our focus toward the future vision	Gather Intelligence Create a vision Identify an issue
Making Strategic Decisions	Analyse options and feasibility to resolve issues, in making judgments and recommendations	Identify countermeasures Assess feasibility Make a judgment
Inspiring Entrepreneurship in People	Promotes the vision and goals to others in such a way that inspires commitment and independent contributions	Influence Inspire Commit
Elevating Organizational Capacity	Maximize organizational productivity through leadership development and engagement	Have an ownership in own development Support other‘s growth Encourage organizational growth
Inclusion	Respect diverse perspectives and promote psychological safety and the creation of a risk culture	Foster psychological safety Encourage the active participation of all talent Foster a risk culture

Equal Opportunity Employer:

The firm is an equal opportunity employer, and we are committed to providing equal opportunities throughout employment including in the recruitment, training and development of employees. The firm and its affiliates prohibit discrimination in the workplace whether on grounds of gender, marital or domestic partnership status, pregnancy, carer’s responsibilities, sexual orientation, gender identity, gender expression, race, color, national or ethnic origins, religious belief, disability or age.