Job Title: COM-Central Compliance

Job Code: 13037

Country: IN

City: Mumbai

Skill Category: Compliance

Description:

Divisional Overview:

Powai L & C broadly covers the areas of Legal and 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 and 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 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 Communication Surveillance team monitors employee communications across voice, email, chat, and electronic platforms to detect potential misconduct, market abuse, or policy breaches. Using advanced lexicon models, analytics, and monitoring tools, the team supports global regulatory compliance and promotes a culture of integrity by identifying and escalating risks in a timely manner.

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.

Position Specifications:

Corporate Title	Analyst
Functional Title	Analyst/Sr. analyst
Experience	2 to 7 Years
Qualification	Graduate/Post Graduate
Requisition No.	xxxxx

Role & Responsibilities:

Monitoring Activities

Review employee communications (email, chat, voice, and other platforms) using surveillance tools.
Conduct detailed investigations into potential misconducts like insider trading, market manipulation, front running, or policy breaches.
Document findings, escalate issues, and ensure proper closure of cases in line with internal protocols.

Communication surveillance Risk Management & Regulatory Alignment:

Apply knowledge of global regulatory frameworks (MAR, MiFID II, SEC, SEBI, FCA) to assess potential misconduct.
Escalate high-risk matters to respective regional surveillance and compliance team in a timely and accurate manner.
Contribute to thematic reviews and ad-hoc investigations as required.

Data & Analytics

Support enhancement of monitoring scenarios by providing feedback on alert quality and trends and performing regular parameter testing.
Assist in testing and validating new models, lexicons and system changes.

Collaboration & Reporting

Work closely with regional stakeholders to provide insights from surveillance investigations.
Prepare clear, concise, and well-structured investigation reports.
Contribute to management information (MI) and trend reporting for governance purposes.

Continuous Improvement

Identify process gaps, inefficiencies, and recommend improvements to strengthen surveillance coverage.
Stay abreast of market developments, new products, and regulatory changes impacting surveillance requirements.
Participate in automation, AI, and process optimization initiatives to improve alert handling and effectiveness

Mind Set:

	Mandatory	Desired
Domain	Financial Markets and Products: Understanding of various asset classes, market structures, trading mechanisms, and financial instruments.	Data Analysis: Ability to ensure data completeness and accuracy
	Regulatory Framework and Market Abuse: Knowledge of market abuse regulations, typologies.	Risk Management and Compliance: Understanding of various risk types, compliance frameworks, and ethical standards in the financial industry.
	Trading Strategies and Behaviours: Comprehension of potential abusive practices.	Experience of dealing with various regional stakeholders.
Technical	Good MS office skills	Knowledge of Excel macro and VBA
Technical	Presentation, MIS reports development skills	Knowledge of AI use

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).