Job Title:  COM-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.

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 Unit Overview:

The Control Room team within Compliance is responsible for monitoring the firm’s & employees' trading activities designed to prevent and detect the misuse of material non-public information. Control room ensures that the employees’ surveillance is being carried out in accordance with the Chinese wall policy and the team makes sure there is no leakage of material non-public information.

Position Specifications:

Role & Responsibilities

The individual will have diverse responsibilities, including but not limited to:-

• Responsible to perform different control room monitor and surveillance tasks within stringent deadlines.
• Responsible to review and perform Actimize and manual trade surveillance for Watch list, Restricted list, trading ahead of research checks and escalate potential breaches for second level review.
• Responsible for new joiner process on attestations for US staff with respect to Personal Account Dealing and OBI-A Policy
• Handle the employee trade monitoring process including reconciliations and account

Maintenance; send and timely chasers to staffs with pending statement submissions

• Ensure MIS data, Checklists and process related procedures are updated and accurate
• Responsible for investigating and enquiring for mismatch of source data.
• Responsible for identification, mitigation, escalation and reporting of potential/current risk.
• Provide assistance for developing IT tools by Documentation of business requirement performing UAT and provide alternative solutions.
• Good Interpersonal skills; high ethical standard; collaborative; detail Oriented, willing to learn and adapt.
• Must maintain confidentiality and privacy of Control Room information within and outside firm.
• Responsible to maintain good communication with regional stakeholders and organise, scheduled weekly/monthly calls with structured agenda and minutes.

Mind Set:

Nomura Core Competencies:

Equal Opportunity Employer:
 
Nomura is an equal opportunities employer. We are committed to providing equal opportunities throughout employment including in the recruitment, training and development of employees (including promotion, transfers, assignments and beliefs). We prohibit discrimination in the workplace whether on grounds of gender, marital or domestic partnership status, pregnancy, career’s responsibilities, sexual orientation, gender identity, race, color, national or ethnic origins, religious belief, disability or age. Our objective is to attract job applications and applications for development from the best possible candidates and to retain the best people.