Job Title: COM-Central Compliance

Job Code: 13662

Country: IN

City: Mumbai

Skill Category: Compliance

Description:

Business Unit Overview:

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

Position Specifications:

Corporate Title	Analyst
Functional Title	Analyst
Experience	1 year
Qualification	Graduate/Post Graduate
Requisition No.	7990

Role & Responsibilities:

Administer and support US Compliance team with monitoring, submitting and tracking of:

· Regulatory Reporting (Blue Sheets)

· Registrations (15a6, CE Firm Element)

Promptly address queries and requests received from the US Compliance teams and staff relating to the processes supported
Coordinate with US Compliance team and IT team to facilitate UAT testing for system enhancements and process efficiencies
Provide all necessary reports, periodic management information, and such other information as may be required by US Compliance in connection with the processes supported
Develop a good understanding of the relevant applicable regulatory requirements and keep abreast of all regulatory updates and changes in order to support the process
Identify, facilitate and implement process improvement ideas to improve efficiency

Mind Set:

	Mandatory	Desired
Domain	Basic product knowledge Basic US regulatory environment knowledge Strong administrative skills and analytical approach to problem solving	Basic product knowledge Basic US regulatory environment knowledge Strong administrative skills and analytical approach to problem solving
Technical	Good MS office skills Knowledge of Regulatory registrations & Certifications, Training/Affirmations, US Blue Sheet Regulatory Reporting 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	Good interpersonal skills; high ethical standard; collaborative; detail oriented, willing to learn and adapt Power BI / Tableau and other data visualization tools

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).