Nomura India
Nomura India | COM-Business Compliance
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Job Highlights
About the team
The independent CAO function actively supports and advances Powai Legal and Compliance's vision through several key initiatives. It designs and drive strategic initiatives that align with and propel Powai Legal and Compliance's goals.
Responsibilities
- Powai LCC broadly covers the areas of Legal, Compliance and Conduct, and is responsible for building a robust risk and control framework.
- The Offshore Legal team supports global teams on corporate and secretarial matters, Global Markets, and Masters documentation related requirements.
- The team manages financial operations with precision and foresight, ensuring optimal resource allocation and fiscal health.
- The team Implements and maintains a robust administrative framework for both Powai and Offshore CAO activities, with a strong focus on enhancing control and governance measures.
- The team leads the globalization project by spearheading the transformation journey thereby fostering a culture of innovation and continuous improvement within the team, encouraging proactive problem-solving and creative solutions.
- Monitor and report on divisional operational risk and audit incidents, working closely with teams to identify and address issues before they escalate.
- Coordinate Vendor Risk Management activities, including self-assessments and ongoing monitoring to ensure third-party compliance.
- Prepare and maintain Senior Management Function (SMF) documentation, including statements of responsibilities and regulatory submissions, ensuring accuracy and completeness.
- Support administering internal outsourcing governance meetings and ensure transition/outsourcing documentation is kept current.
- Manage divisional headcount processes - tracking joiners, leavers, job requisitions, and position changes with precision.
- Produce workforce reports and analytics, including trend analysis and organizational charts, working with HR and Finance to keep data accurate and current.
- Create and maintain clear SOPs and playbooks for CAO activities, making it easy for teams to follow consistent processes.
- Spot opportunities to improve and standardize operations across regions, sharing best practices that work.
- Lead BCP coordination efforts, developing and maintaining continuity documentation and recovery plans.
- Organize testing and updates to ensure the division can respond effectively to disruptions.
- Prepare detailed MIS reports for senior management, explaining variances and providing insights that support decision-making.
- Utilize modern data visualization and automation tools to streamline reporting processes and improve data accuracy.
- Acts proactively to increase efficiency
- Collaborates within and across teams, involving the right people
Requirements
- Strong knowledge of Microsoft Office products – Outlook, Excel, PowerPoint and Word.
- Excellent communication skills (Written and Oral) with experience in dealing with external stakeholders.
- Analytical skills with attention to details and accuracy.
- Ability to multi task and prioritize.
- Flexibility (willingness to Change) – ability to adapt effectively to changing plans and priorities, and to be open and flexible when faced with changing circumstances.
- Presentation, MIS reports development skills.
- Knowledge of advanced excel is desirable, Tech Savvy.
- Experience in the Securities or Financial services industry.
- Have excellent communication and IT skills (Word, Excel, PowerPoint).
- Experience working in CAO team
- Good to have Power-Bi knowledge.
About the company
Nomura
Nomura is a Japanese financial services group, founded in 1925 and headquartered in Tokyo, with a network spanning around 30 countries and regions. Its business is organised into four divisions: Wealth Management, Investment Management, Wholesale (Global Markets and Investment Banking) and Banking.
In India, Nomura Services India in Powai, Mumbai supports the group's global businesses with teams in financial control and reporting, risk management, operations, research, trading support, compliance, legal and technology. Roles in financial control, product control, regulatory reporting, risk, audit and operations there suit chartered accountants, ACCA and CFA professionals and MBA (Finance) graduates.
