Job Title: COM-Central Compliance

Job Code: 10941

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 Employee Compliance. The teams provide advisory and operations support to global / regional Compliance teams driven by global / regional policies and regulatory expectations.

Business Overview:

The Disclosures team within Compliance is responsible for meeting regulatory and statutory

Requirements to disclose Nomura's significant long position, Short position Disclosures, Responding

Investor Relation query and meet Takeover panel disclosures obligations both at entity level and/or at

Group level.

Position Specifications:

Corporate Title	Analyst
Functional Title	Analyst
Experience	0-2 years
Qualification	Graduate/Post Graduate
Requisition No.	10941

Role & Responsibilities:

Responsible for monitoring, investigating and reporting disclosures triggers for Substantial Share Holding, Takeover & Mergers and Short Positions at Corporation level and Legal Entity Level
Ensure efficient identification of global regulatory updates and implement them for daily monitoring and disclosures.
Responsible for DOI calculation procedures, methodology and development of static data and feed structures according to respective jurisdiction disclosure requirement.
Close communication with regional stakeholders and organizing scheduled weekly/monthly calls with structured agenda and minutes
Ensure correct interpretation of Disclosures regulations in collaboration with region
Responsible for investigating and enquiring for mismatch of trade quantity with source data.
Identification, mitigation, escalation and reporting of potential/current risk.
Provide assistance to IT development team in developing IT tools and applications as SME from the process.
Prepare business requirement documents, process map and assist IT team in developing IT infrastructure. As well responsible to conduct UATs for IT projects from Compliance operations.
Ensure appropriate disclosures are updated in the reports, update procedures relating to the Disclosures function
Ability to work in Team, interact with all levels of stakeholders in regional Disclosures teams
Good Interpersonal skills; high ethical standard; collaborative; detail Oriented, willing to learn and adapt
Identifying regulatory changes through different alerting systems, Regulators websites and stock exchange announcements and advises received from Legal dept. and applying them into monitoring and disclosure procedures.

Mind Set:

	Mandatory	Desired
Domain	Excellent knowledge and understanding of capital markets participants, products and roles	Ability to handle confidential information and matters with discretion
	3-5 years of Compliance experience in financial services industry	Self-starter and ability to multi-task under pressure and meet various deadlines
	Detail oriented, with strong follow-up and analytical approach to problem solving	Understanding about compliance Monitoring & disclosure functions
		Ability to understand financial regulations and business function to process and procedures
Technical	Strong analytical and project management skills. Ability to challenge existing processes with a view to improvements and good knowledge in MS office (Excel, word and PPT)	Exposure to System development process, Process Mapping and comprehend business requirements into operational process.

Qualification and Experience:

Graduate or PG with experience in the Compliance or capital market services industry
Good analytical skills
Ability to organize and analyse complex data sets
Ability to demonstrate understanding of regulation & Financial markets
Strong interpersonal and organizational skills
Flexibility to work in rotational Shifts.
Ability to use pivot tables and work with an advanced statistical database and statistical methods and functions
Ability to easily grasp regulatory rules and comprehend Disclosures risks and develop extensive user requirements as well as recommend automated solutions to reduce those risks

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.