Job Title: COM-Central Compliance

Job Code: 10849

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 - 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:

Corporate Title	Analyst
Functional Title	Analyst/Sr. analyst
Experience	4 to 5 Years
Qualification	Graduate/Post Graduate
Requisition No.	10849

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:

	Mandatory	Desired
Domain	Experience in the Securities or Financial services industry	Collaborates within and across teams, involving the right people
Domain	Basic understanding of Investment Banking business and the Financial Regulatory environment.	Detail-minded; be able to ensure data completeness and accuracy
Technical	Good MS office skills	Knowledge of Excel macro
Technical	Presentation, MIS reports development skills

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 Recognising 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

Recognises others’ efforts

Offers to assist

Willing team participant

Shows interest

Communication & Influence

Articulation and Receptiveness

Impact Connectivity

Speaks/writes clearly

Aware of non-verbal behaviour

Demonstrates active listening

Conveys a positive image

Shares information

keeps people informed

Builds strong relationships

Execution & Delivery

Driving Performance Execution-Focus Planning & Organising Adaptability

Maintains can-do attitude

Sees tasks to completion

Manages day-to day work

Prioritises/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.