Job Title: COM-Business Compliance

Job Code: 13515

Country: IN

City: Mumbai

Skill Category: Compliance

Description:

Divisional Overview:

Powai L & C broadly covers the areas of Legal and Compliance and is responsible for building a robust risk and control framework. The Powai L & C teams support Nomura Powai entities, as well as L & C teams globally to ensure effective risk management of Legal and Compliance 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 GM Compliance department is responsible for establishing and maintaining an effective compliance framework across Nomura's operations, ensuring adherence to applicable laws, regulations and internal policies. Within Global Markets, the Compliance team provides advisory support, regulatory change management, and oversight of conduct risks to support the Global Markets businesses across the region

What We Offer:

We support employee wellbeing by ensuring a sense of purpose and belonging.
We offer a comprehensive range of wellbeing services which allows employees to get access to the assistance they need at any point in their wellbeing journey.
Our bespoke benefits support employees and their family’s holistic wellbeing and are inclusive of diverse identities and family structures.

Position Specifications:

Corporate Title	Associate
Functional Title	Manager / AVP
Experience	7 to 10 Years
Qualification	Graduate/Postgraduate
Requisition No.	13515

Role & Responsibilities:

Trading Support and Front-Office Advisory:

Provide day-to-day compliance support and guidance to Sales and Trading teams on equities trading matters, always ensuring adherence to internal procedures and regulatory standards throughout trading hours
Respond promptly to front-office queries relating to order handling, trade execution, client instructions, best execution and market conduct, escalating to senior compliance staff where appropriate
Work with business teams to address client inquiries in a manner that supports client relationships while ensuring regulatory expectations and compliance standards are met
Monitor trading activity and communications for potential compliance issues, and support the investigation and remediation of incidents as directed

Regulatory Coordination and Controls:

Participate in compliance independent reviews and/or assurance testing programs to ensure business processes and controls meet required standards
Prepare and submit routine regulatory filings and notifications on time, ensuring accuracy and completeness of information
Coordinate information requests for regulatory examinations and audits when required, liaising with business, operations and other stakeholders to compile necessary materials
Assist in maintaining compliance policies, procedures and guidance documents relevant to the Cash Equities business, ensuring they remain current and fit for purpose

Regulatory Change and Management Information:

Support senior compliance staff in monitoring new regulatory initiatives and developments relevant to the Cash Equities business, and assist in implementing changes across different business teams
Assist in preparing regular management information (MI) reports and presentations on compliance activities, key risk indicators, incident trends and regulatory updates for senior management
Collaborate with various internal stakeholders across the organization to ensure effective processes, promote strong conduct standards, and support a positive compliance culture
Maintain accurate records of compliance activities, decisions and escalations in accordance with document retention and governance requirements

Regional collaboration and Coordination

Serve as the front-line representative for compliance, risk and deal with regional stakeholders.
Provide MI with actionable insights, metrics, and management information to senior leadership and governance forums.
Contribute to global surveillance policy development and control enhancements.

Change management and Innovation

Fostering and implementing automation, AI, and advanced analytics
Lead process improvement initiatives to optimise workflows and reduce operational risk.
Support global transformation programs and align local/regional initiatives with enterprise objectives

Mind Set:

	Mandatory	Desired
Domain	Asian Financial Markets and Products: Understanding of various asset classes, market structures, trading mechanisms, and financial instruments.	Data Analysis: Familiarity with statistical concepts, surveillance systems.
	Asian market regulatory framework and market abuse: Knowledge of Asian market abuse regulations, typologies.	Risk Management and Compliance: Understanding of various risk types, compliance frameworks, and ethical standards in the financial industry.
	Trading Strategies and Behaviours: Comprehension of common trading strategies, algorithmic trading, and potential abusive practices.	Experience of dealing with various regional stakeholders.
Technical	Good MS office skills	Knowledge of Excel macro and VBA
Technical	Presentation, MIS reports development skills	Knowledge of AI

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).