Job Title:  COM-Central Compliance

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 - Compliance broadly covers non-financial risk Compliance, Conduct and Operational Risk in order to increase convergence and build a more robust risk and control framework. The teams support Nomura Powai as well as Compliance and Operational risk teams globally to ensure effective risk management and plays an integral part in managing compliance risk of the firm. Powai Compliance comprises of Core Compliance, Trade Monitoring, Electronic Communication Surveillance, Financial Crime Monitoring, Control Room and Employee Compliance. Powai Operational Risk comprises of the Core, Regional Analytics and Central teams to ensure embedding of the Non- Financial Risk framework across the firm.

Business Unit Overview:

The Trade Monitoring & Surveillance team looks into the risk across markets by monitoring price/volume movement of the clients using surveillance applications which safeguard the firm against any reputational and/or financial risk.

Position Specifications:

Role & Responsibilities:

• Analyse risk across markets by monitoring price/volume movement in the securities using surveillance application to safeguard the firm against any reputational and/or financial risk
• Review of alerts generated on suspicious trades and orders in OTC Fixed Income market
• Analysing alerts based on regulations in relation to Fixed Income markets (as advised by FCA)
• Understanding of various financial products like Equities, Fixed Income, Forex and Swaps
• Ensure that surveillance reviews are being performed properly from a qualitative and timeliness perspective.
• Review of surveillance exceptions with regions, business personnel and middle office.
• Participate in periodic risk assessments. Identifying gaps within the process and implementing appropriate controls
• Independently lead and drive projects from a surveillance perspective
• Prepare MI reporting and ensure accurate & timely reporting to all stake holders.
• Identify, facilitate, and implement process improvement ideas to improve efficiency

Mind Set:

Nomura Core Competencies:

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.