Job Title: COM-Central Compliance

Job Code: 13162

Country: IN

City: Mumbai

Skill Category: Compliance

Description:

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 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 provides support to Nomura entities globally on Training & Affirmations and Policies Management, Licensing and Registrations, Regulatory Change and Reporting, and Infrastructure Advisory functions. The team ensures that Nomura staff members abide by applicable policies and procedures in order to meet applicable Compliance requirements and regulatory obligations. The Central Compliance team provides support to onshore entities in providing guidance and oversight on staff members on key Compliance matters. The team assists regions in the monitoring, identification and management of risks as Second Line of Defence function for the firm.

Role & Responsibilities:

The focus will be on the processes supporting our Registration activities. This will include:
- Supporting the compliance processes for staff registrations basis Swap Dealer Associated Person (AP) and Security-Based Swap Dealers Associated Person (AP) requirements by CFTC/NFA
- Execute daily registration activities, including processing new Associated Person applications and ensuring ongoing employee compliance with regulatory frameworks
- Work with colleagues in US / EMEA to ensure delivery in respect of the above
- Administer and support the US Compliance team with 15a6 registration processes
- Monitoring and Tracking employees for completion of their CE firm element requirements
- Develop and maintain SOPs and process documentation; prepare MI reporting and ensure accurate & timely reporting to all stakeholders.
- Provide regular updates and escalate critical issues to senior management; collaborate effectively with stakeholders
- Identify, facilitate and implement process improvement ideas to improve efficiency.
- Experience and ability to work with in house-built systems, or vendor systems to support the above areas

Essentials:

Knowledge of Regulatory Registrations
Ability to represent the wider Compliance function credibly in discussions with other departments, especially the front office and Human Resources function
Demonstrable project management skills
Strong inter-personal and organisational skills
Strong time management skills
Experience with using Word, Excel, PowerPoint
Excellent attention to detail
Willingness to be flexible and adapt quickly to changing demands of the role

Essentials:

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 trade and voice 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 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

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).