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.
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 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 Powai Core Compliance team covers non-financial risks through Compliance and Conduct Risk Management. This team supports Nomura Powai entities, and plays an integral part in the design, implementation, and management of the Compliance and Conduct framework applicable to the location.Key responsibilities of the team include - (1) Designing, implementing and driving adherence to Compliance policies and procedures, (2) Ongoing monitoring and surveillance, (3) Participating in Compliance relevant investigations, (4) Providing Compliance advisory support, (5) Driving Training and Awareness programs, and (6) Managing the Powai Conduct and Culture office. The team works closely with Legal, IT Security, HR, Operational Risk and other functional teams within Powai, in order to strengthen the risk management and controls environment through various strategic and operational interventions.
Role & Responsibilities:
- Implementing the Core Compliance & Conduct Operating Model
- Engaging with all Powai functions, providing advisory support, and participating in / driving governance forums from a Risk Management perspective
- Designing, updating and implementing Compliance and Conduct relevant policies and procedures
- Designing and implementing the annual Training & Awareness plan, covering Compliance & Conduct relevant topics
- Designing and implementing Compliance and Conduct Risk Assessment frameworks, leading to the identification of focus areas from a Compliance and Conduct perspective
- Monitoring & Testing of Compliance and Conduct relevant risks
- Managing issues, and ensuring action plans are implemented effectively from a risk mitigation perspective
- Conducting Surveillance related activities, in line with Compliance requirements
- Driving initiatives such as the Annual Affirmation program
- Performing data analysis on Core Compliance relevant metrics, leading to effective risk mitigation strategies
- Ongoing interaction and partnership with senior stakeholders and counterparts, locally and in the region
Mind Set:
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Mandatory |
Desired |
Domain / Technical |
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Interpersonal |
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Nomura Core Competencies:
Competencies |
Behavioral Indicators |
Culture & Conduct |
Contributes to desired culture |
Client-Centricity & Business Acumen |
Understands current market |
Strategy & Innovation |
Balances alternative views |
Leadership & Collaboration |
Thinks differently |
Communication & Connectivity |
Assists in recruiting |
Communication & Influence |
Adjusts style to suit topic |
Execution & Delivery |
Demonstrates accountability/commitment |
Nomura Leadership Behaviours:
Leadership |
Description |
Element |
Exploring Insights & Vision |
Comprehensively analyse the nature |
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Making Strategic Decisions |
Analyse options and feasibility to resolve issues, in making |
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Inspiring Entrepreneurship in People |
Promotes the vision and goals to others in such a way that inspires commitment and independent contributions |
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Elevating Organizational Capacity |
Maximize organizational productivity through leadership development and |
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Inclusion |
Respect diverse perspectives and |
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Equal Opportunity Employer:
The firm is an equal opportunity employer, and we are committed to providing equal opportunities throughout employment including in the recruitment, training and development of employees. The firm and its affiliates 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.