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 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:
Communication Surveillance team provides support to Nomura entities globally on monitoring of electronic communication and voice surveillance. It ensures that the firm conform to rules and regulations prescribed by the relevant regulators in region. Team ensures that the employees are adhering to polices and there is no dissemination of information that can cause financial, reputational, regulatory and financial risk to the firm. It ensures that the employee communication channels & Chinese walls are adhered.
Position Specifications:
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Corporate Title |
Analyst |
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Functional Title |
Analyst/Senior Analyst |
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Experience |
2-5 years |
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Qualification |
Graduate / Postgraduate |
Role & Responsibilities:
- Responsible for the surveillance of electronic communications and voice communications - Mails/Messages/Voice calls internal and external to the Firm
- Identify any non-compliant or suspicious activity and escalate questionable electronic communications to the relevant compliance officer/manager
- Remain updated on developments and changes concerning relevant regulations
- Develop and maintain a good understanding of the Firm’s business groups and products, including, but not limited to, Fixed Income, Investment Banking, Equity Research and Equities
- Good Knowledge of the regulatory environment
- Identifying gaps within the process and implementing appropriate controls
- MIS
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Mandatory |
Desired |
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Domain |
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Technical |
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Nomura Core Competencies:
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Competencies |
Behavioral Indicators |
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Culture & Conduct Building Nomura’s Culture Diversity & Inclusion Professional Integrity Self-Awareness |
Aware of own impact Respectful attitude Professionalism Gets involved |
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Client-Centricity & Business Acumen Commerciality Client-Centricity Analytical Thinking & Problem Solving |
Product / service knowledge Responsive, accountable Detail orientated Offers options/solutions |
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Strategy & Innovation Strategic Thinking & Change Decision Making & Judgement Agility |
Stays up to date Thinks differently Demonstrates entrepreneurial thinking Translates strategies into plans Stays one step ahead Open to new ways of thinking |
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Leadership & Collaboration Managing Talent Recognizing and Motivating Supporting, Developing & Collaborating with others Managing Conflict |
Stays up to date Open to new ways of thinking Sees when to escalate Provides logical rationales Shows initiative to develop Leverages resources |
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Communication & Connectivity Articulation & Receptiveness Impact Connectivity |
Recognizes others’ efforts Offers to assist Willing team participant Shows interest |
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Communication & Influence Articulation and Receptiveness Impact Connectivity |
Speaks/writes clearly Aware of non-verbal behavior Demonstrates active listening Conveys a positive image Shares information keeps people informed Builds strong relationships |
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Execution & Delivery Driving Performance Execution-Focus Planning & Organizing Adaptability |
Maintains can-do attitude Sees tasks to completion Manages day-to day work Priorities /meets deadlines Asks questions to gain understanding Responds positively to feedback |
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.