Job Title: COM-Central Compliance

Job Code: 9343

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.

Nomura 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 supports the group’s global businesses. With world-class capabilities in trading support, research, information technology, financial control, operations, risk management and legal support, the firm plays a key role in facilitating the group’s global operations.

At Nomura, creating an inclusive workplace is a priority. Our approach to inclusion encompasses a variety of initiatives, including sensitization campaigns, implementing conducive policies & programs, providing infrastructure support and engaging in community events. Over time, we have made meaningful progress in these areas, and this commitment has been well-recognized across the industry. We are proud recipients of the prestigious Top 10 Employers award by the India Workplace Equality Index (IWEI), IWEI Gold Employer of Choice awards, India CSR Leadership Award 2024 for Holistic Village Development Program and the YUVA Unstoppable Changemaker Awards.

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
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Role & Responsibilities:

Core Functions
- Manage end-to-end Compliance Training programs and Learning Management System administration
- Oversee Compliance Policy Affirmations/Attestation program, ensuring timely completion by employees
- Coordinate with global teams to maintain smooth Training and Affirmation processes
Project and Stakeholder Management
- Prioritize workload according to team objectives and Global Compliance Training Manager requirements
- Manage multiple deadlines effectively
- Liaise with internal/external stakeholders and vendors to ensure seamless process execution
- Prepare and deliver accurate Management Information (MI) reports to stakeholders
Training Course Development and Quality Assurance
- Conduct comprehensive course testing to ensure full functionality
- Troubleshoot and escalate technical issues as needed
- Support course development through storyboarding, design, and implementation
- Identify and implement process improvements to enhance efficiency
Risk Management
- Monitor, identify and escalate potential risks within the process
- Escalate concerns to local and regional management as appropriate
- Maintain compliance standards throughout all processes

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

Basic understanding of Investment Banking business and the Financial Regulatory environment
Good MS office skills
Demonstrable project management skills
Experience with using Word, Excel, PowerPoint

Compliance Background.
Power BI / Tableau and other data visualization tools
Knowledge of Excel macros

Interpersonal

Ability to represent the Compliance function credibly in discussions with other departments, including front office and Human Resources
Good interpersonal skills; high ethical standard; collaborative; detail oriented, with a willingness to learn and adapt
Strong time management skills
Strong attention to detail, with the ability to ensure data completeness and accuracy
Willingness to be flexible and adapt quickly to changing demands of the role

Collaborates within and across teams, involving the right people

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 behavior 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

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

Equal Opportunity Employer:

The firm is an equal opportunity employer, and we are committed to providing equal opportunities throughout employment including in the recruitment, training and development of employees. The firm and its affiliates 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.