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.
Nomura Overview:
Nomura is an Asia-headquartered financial services group with an integrated global network spanning over 30 countries. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its four business divisions: Retail, Asset Management, Wholesale (Global Markets and Investment Banking), and Merchant 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 Central Compliance. The teams provide advisory and operations support to global / regional Compliance teams driven by global / regional policies and regulatory expectations.
Business Unit Overview:
Central Compliance team provides support to Nomura entities globally on Training & Affirmations, Policies Management, Licensing & Registrations, Regulatory Change & Reporting and Infrastructure Advisory functions. Team ensures Nomura staffs abide by the policies and procedures in place to meet applicable compliance requirements and regulatory obligations. The Central Compliance team supports onshore entities in providing guidance and oversight of staff on key Compliance matters. Team assists regions on monitoring, identification, and management of risks as Second Line of Defence for the firm.
Position Specifications
Function |
Central Compliance |
Process |
Global Compliance Training |
Corporate Title |
Analyst |
Experience |
Senior Analyst / Assistant Manager |
Qualification |
Graduate / Post-Graduate |
- |
|
a
Role & Responsibilities:
This role requires strong attention to detail, excellent project management skills, and the ability to work effectively with diverse stakeholders across global teams.
|
Mind Set:
|
Mandatory |
Desired |
Domain/ Technical |
|
|
Interpersonal |
|
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Nomura Core Competencies:
Competencies |
Behavioral Indicators |
Culture & Conduct |
Contributes to desired culture |
Client-Centricity & Business Acumen |
Understands current market |
Strategy & Innovation |
Balances alternative views |
Leadership & Collaboration |
Thinks differently |
Communication & Connectivity |
Assists in recruiting, gives credit |
Communication & Influence |
Adjusts style to suit topic |
Execution & Delivery |
Demonstrates accountability/commitment |
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.