Job Title:  IFO-Infrastructure Others

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.

• Guideline Monitoring - Generating and reviewing compliance exception reports using systems such as Thinkfolio and Apollo. Investigation and reolution of potential guideline breaches and exceptions.
• Maintaining the database of investment restrictions, reviewing new client investment restrictions and coding to the compliance systems.
• Personal Trading Review (Code of Ethics) - Daily personal trading monitoring using third party application to identify violations of the firm’s policies and procedures. Provide UK Compliance Officer with findings on a daily basis
• Reviewing other daily risk and compliance data including follow up investigation as necessary.
• Carrying out a variety of other periodic tasks within the compliance monitoring programme.
• Assist with the ongoing development of the compliance monitoring programme and compliance systems within NAM UK.
• Assist with ad hoc regulatory and business projects as necessary.
• Identify and report on current and potential issues and problems, and make suggestions for improvements to own work area or processes.

 Key Skills:

• Candidates should have experience within an institutional asset management environment.
• Compliance monitoring experience is preferred with use of systems such as Thinkfolio, Latent Zero, Charles River, Apollo including the ability to programme and edit investment restrictions.
• The selected candidate will be able to demonstrate a disciplined approach to their work, attention to detail and a willingness to investigate day to day issues arising.
• Be approachable in the department and flexible in exposure to a variety of duties
• Ability to plan and prioritize workload and work to deadlines
• Good Communication skills
• High level of accuracy and attention to detail
• Knowledge of Indian stock markets and mutual funds would be helpful

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.