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 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 Legal and Compliance broadly covers the areas of Legal & Compliance (L & C) 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, 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 Overview:

The Central Compliance team serves as a crucial element of second line of defence within Nomura's global risk management framework, delivering comprehensive oversight across multiple critical functions. Operating at the intersection of regulatory compliance and operational excellence, the team manages essential processes including Training & Affirmations and Policies Management, Licensing and Registrations, Regulatory Change and Reporting, and Infrastructure Advisory services. Through proactive risk identification and management, the team ensures adherence to regulatory obligations while providing strategic support to onshore entities. As stewards of compliance excellence, we partner with global stakeholders to strengthen Nomura's control environment and maintain the firm's commitment to regulatory standards and ethical business practices.

What We Offer:

• We support employee wellbeing by ensuring a sense of purpose and belonging.
• We offer a comprehensive range of wellbeing services which allows employees to get access to the assistance they need at any point in their wellbeing journey.
• Our bespoke benefits support employees and their family’s holistic wellbeing and are inclusive of diverse identities and family structures.

Role & Responsibilities:

Position yourself at the heart of Nomura's risk management framework as a crucial member of the second line of defence. This role empowers you to strengthen the firm's control environment by providing independent oversight, challenge, and guidance on regulatory compliance matters.

• As a Second Line Function, we:
  • Provide independent oversight and challenge to the first line of defense
  • Set standards and establish frameworks for effective risk management
  • Monitor and test control effectiveness
  • Ensure regulatory compliance and risk management best practices
  • Advise on emerging regulatory risks and requirements

• Key Responsibilities:

The data analyst role focuses on analyzing learning metrics and training effectiveness for the Global Compliance Training function, leveraging data from a question-based learning platform to improve training outcomes and reduce compliance risks.  The role also includes some training administration tasks when required.

• • • Collect and analyze a variety of training data
    • Create regular reports and dashboards to track key performance indicators (KPIs) for compliance training
    • Identify trends in question response data to highlight knowledge gaps and areas requiring additional focus
    • Conduct statistical analysis to evaluate training effectiveness
    • Provide data-driven recommendations for learning interventions to be assigned to learners
    • Develop and maintain data quality standards for training analytics
    • Assign online or face to face learning interventions to staff at the request of the Training Manager / Compliance Trainer and track completion of those interventions
    • Identifying and implemented process improvement
    • Preparing and delivering accurate Management Information (MI) reports to stakeholders
    • Supporting the Global Compliance Training Manager in the administration of the rollout of Compliance training (Question Based Learning, Online learning and Face to Face courses).

• This role offers an exceptional opportunity to:
  • Influence the firm's regulatory compliance and risk management strategy
  • Develop expertise in critical financial regulations and risk management frameworks
  • Work with senior stakeholders across global markets
  • Shape the future of compliance processes in a leading financial institution
  • Build a career in a critical second line function that helps safeguard the firm's reputation and operations

• Essential Skills

• • • Strong analytical, written and communication skills
    • Ability to prioritize workload according to team objectives and Global Compliance Training Manager requirements
    • Ability to manage multiple deadlines effectively
    • Ability to work with and engage with staff at all levels
    • Ability to adapt quickly to internal and external change
    • Strong inter-personal and organizational skills
    • Strong time management skills and the ability to work to multiple deadlines
    • Strong Excel and Outlook experience
    • MS Word experience    
    • Excellent attention to detail
    • Willingness to be flexible and adapt quickly to changing demands of the role.

• Desirable

• • • Experience within a Compliance, Operational Risk, Internal Audit or HR environment and with experience of working in a training team.
    • Exposure to AI tools
    • Previous experience working with a Learning Management System, preferably SuccessFactors

Mind Set:

 Nomura Leadership Behaviours:

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.

*The benefits are subject to change and will be in accordance with Company’s policies as may be applicable from time to time).