Nomura India
Nomura India | COM-Central Compliance
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Job Highlights
About the team
Powai FCC plays a crucial role in safeguarding Nomura against financial crime risks on a risk-based approach by providing centralized global financial crime compliance (GFCC) services and offshoring support across 4 risk pillars – Anti-Money Laundering (AML) Advisory, AML Monitoring, Sanctions, and Anti-Bribery & Corruption (ABC) and 2 support offices – Governance & Strategy, Technology & Intelligence.
Responsibilities
- Powai L&C in NSIPL broadly covers the areas of Legal and Compliance is responsible for building a robust risk and control framework in Nomura.
- The Offshore Legal team supports global teams on corporate and secretarial matters, Global Markets, and Masters documentation related requirements.
- The position reports directly to the Head of Powai FCC, based in Powai, with a matrix reporting line to the Global Lead of Governance & Strategy Office, based in Singapore.
- Lead the design and implementation of comprehensive governance and control frameworks across AML Advisory, AML Monitoring, Sanctions and ABC, including policies, standards and strategic direction.
- Develop enterprise-level risk-focused MI reports, conduct advanced risk assessments and analyses with strategic recommendations for senior leadership.
- Direct audit and regulatory examination preparedness reviews, including comprehensive gap assessments, remediation strategies and senior stakeholder engagement.
- Establish, enhance and provide strategic oversight of robust FCC training programs globally, ensuring alignment with regulatory developments.
- Represent Powai FCC in global governance forums and drive policy enhancements across the organization.
- Lead the strategic transition from regional structure to global service-level deployment, including change management and transformation roadmap.
- Oversee the strategic development and maintenance of various internal lists and risk/control registers.
- Provide strategic oversight and quality assurance framework for L1 reviews of transaction monitoring alerts.
- Direct the framework for initial assessment of L1 escalations of name screening and payment filtering alerts by Operations.
- Establish governance standards for due diligence checks and documentation for gifts and entertainment, vendor management, corporate events, sponsorships, and donations.
- Lead strategic participation in UATs and provide senior-level reviews of key FCC monitoring systems implementations.
- Drive and sponsor various strategic ad-hoc projects and transformation initiatives.
- Manage senior stakeholder relationships across global regions and influence decision-making at executive level.
- Mentor and develop team capabilities, building succession planning and organizational capability.
Requirements
- Outstanding stakeholder management and communication skills to engage effectively across regions and time zones.
- Self-motivated with strong ownership, attention to detail, and commitment to quality.
- Strong understanding of AML, Sanctions and ABC legislations and principles; Good understanding of Global Markets, Investment Banking, Wealth Management business models.
- CAMS (Certified Anti-Money Laundering Specialist) certification.
- Understanding of data quality controls and data governance principles.
- Ability to analyse complex financial transactions and identify suspicious activity patterns.
- Experience in using enterprise-level alert monitoring systems and case management tools; Experience in MI development and design.
- Experience supporting audit, regulatory examinations, or risk assessment processes.
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.
