Job Title: COM-Business Compliance

Job Code: 12613

Country: IN

City: Mumbai

Skill Category: Compliance

Description:

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.

Business 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	Associate
Functional Title	AVP
Experience	12-15 years
Qualification	Post-Graduate
Requisition No.	XXXX

Role & Responsibilities:

Drive transition initiatives and establish robust governance frameworks for CAO operations including budget tracking, accruals, invoice management, inventory management and business MIS.

Drive Head count management activities for the division including leavers / joiner movement, job requisitions and position tracking.

Support the Head of CAO in designing, driving, and implementing the divisional strategy.

Drive Vendor Risk Management processes across the division.

Develop and maintain comprehensive transition SOPs and playbooks for all CAO activities.

Recommend best practices to standardize operational processes across regions.

Ensure timely execution of activities in accordance with defined SLAs.

Responsible for annual budget exercise, review financials, and analyze actuals vs budget variances

Responsible for preparation of various MIS reports for senior management with detailed analysis, rationale, and variance explanations.

Responsible for Developing and maintaining project trackers and executive dashboards with real-time monitoring.

Prepare headcount-related MIS including trend analysis, organizational charts, job requisitions, and position tracking.

Support preparation of presentations, decks, and dashboards covering KPIs, KRIs, headcount metrics, and cost analysis

Assist in driving BCP related activities for the division. Preparing CAO Business Continuity Planning (BCP) documents, including Business Impact Analysis (BIA) and regional recovery plans

Track and comprehensive transition documentation, Statements of Work (SOWs), and other relevant team documentation

Coordinate various initiatives and projects within the CAO team, partnering with functional leads for timely delivery.

Handle employee and management queries related to CAO activities

Communicate effectively with regional managers on various initiatives and updates

Build and maintain relationships with critical stakeholders and business partners

Liaise with cross-functional teams to ensure seamless collaboration and project delivery

Mind Set:

Mandatory

Desired

Domain /

Technical

Experience working in CAO team
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
Acts proactively to increase efficiency

Knowledge of advanced excel is desirable, Tech Savvy
Good to have Power-Bi knowledge.
Detail-minded; be able to ensure data completeness and accuracy
Experience in the Securities or Financial services industry

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 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

We are committed to providing equal opportunities throughout employment including in the recruitment, training and development of employees. We 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.

*Applying for this role does not amount to a job offer or create an obligation on Nomura to provide a job offer. The expression "Nomura" refers to Nomura Services India Private Limited together with its affiliates.

*The benefits are subject to change and will be in accordance with Company’s policies as may be applicable from time to time).