Job Title: COM-Central Compliance

Job Code: 10925

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 L&C broadly covers the areas of Legal & Compliance and is responsible for building a robust risk and control framework. The Powai L&C teams support Nomura Powai entities, as well as L&C teams globally to ensure effective risk management of Legal & Compliance 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, 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:

Corporate Title	Associate
Functional Title	Manager
Experience	7-10 years
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/regional stakeholders
Perform quality checks on the alerts closed
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

Mind Set:

Mandatory

Desired

Domain

Basic product knowledge
Strong administrative skills and analytical approach to problem solving

Ability to identify issues and know when to escalate. Methodical and attention to detail
Self-starter and ability to multi-task under pressure and meet various deadlines
Compliance Background.
Prior experience of Communication or Trade surveillance would be preferred

Technical

Good MS office skills

Good interpersonal skills; high ethical standard; collaborative; detail oriented, willing to learn and adapt
Team Handling experience

Nomura Core Competencies:

Competencies

Behavioral Indicators

Culture & Conduct

Building Nomura’s Culture Diversity & Inclusion Professional Integrity Self-Awareness

Aware of own impact

Respectful attitude

Professionalism

Gets involved

Client-Centricity & Business Acumen Commerciality Client-Centricity Analytical Thinking & Problem Solving

Product / service knowledge

Responsive, accountable

Detail orientated

Offers options/solutions

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

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

Communication & Connectivity

Articulation & Receptiveness

Impact Connectivity

Recognizes others’ efforts

Offers to assist

Willing team participant

Shows interest

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

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

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:

We are committed to providing equal opportunities throughout employment including in the recruitment, training and development of employees. We 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.

*Applying for this role does not amount to a job offer or create an obligation on Nomura to provide a job offer. The expression "Nomura" refers to Nomura Services India Private Limited together with its affiliates.