Job Title: COM-Central Compliance

Job Code: 6420

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.

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 Unit Overview:

The Trade Monitoring & Surveillance team investigates market risks by monitoring price / volume
movement of clients using surveillance applications, thereby safeguarding the firm against any
reputational and / or financial risk.

Role & Responsibilities:

Analyse risk across markets by monitoring price / volume movement in securities using surveillance applications in order to safeguard the firm against any reputational and / or financial risk
Review alerts generated on suspicious trades and orders in Equity, Derivatives, Fixed Income, Forex and Swaps markets.
Analyse alerts based on regulations applicable to respective markets
Participate in periodic risk assessments, identify gaps within the process, and implement appropriate controls.
Review of surveillance exceptions with regional teams, business, and middle office personnel.
Ensure that surveillance activities are undertaken as per agreed procedures and frameworks
Perform review of Standard Operating Procedures.
Independently lead and drive projects from a surveillance perspective
Identify, facilitate and implement process improvement ideas to improve efficiency.
Prepare MI reporting and ensure accurate & timely reporting to all stakeholders.
Help develop and implement holistic risk monitoring methodology and process

Mind Set:

Mandatory

Desired

Domain / Technical

Good knowledge of Capital Markets
Understanding of various financial products like Equities, Fixed Income, Forex and Swaps
Basic understanding of Investment Banking business and the Financial Regulatory environment
Expertise in Surveillance solutions – SMARTS, Actimize etc.
Good MS office skills
Presentation and MIS report development skills
Ability to ensure data completeness and accuracy

Compliance Background.
Prior experience of trade and voice surveillance would be preferred
Knowledge of Excel macros

Interpersonal

Good interpersonal skills; high ethical standard; collaborative; detail oriented, willing to learn and adapt
Ability to identify issues and knowing when to escalate
Methodical and attention to detail

Critical thinking, Conflict Management
Self-starter and ability to multi-task under pressure and meet various deadlines

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.