Nomura India
Nomura India | COM-Central Compliance
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Job Highlights
About the team
As stewards of compliance excellence, we partner with global stakeholders to strengthen Nomura's control environment and maintain the firm's commitment to regulatory standards and ethical business practices.
Responsibilities
- Powai Legal & Compliance (L&C) broadly covers the areas of Legal & Compliance 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 Central Compliance team serves as a crucial element of second line of defence within Nomura's global risk management framework, delivering comprehensive oversight across multiple critical functions.
- Through proactive risk identification and management, the team ensures adherence to regulatory obligations while providing strategic support to onshore entities.
- Willingness to be flexible and adapt quickly to changing demands of the role
- Position yourself at the heart of Nomura's risk management framework as a crucial member of the second line of defence.
- This role empowers you to strengthen the firm's control environment by providing independent oversight, challenge, and guidance on regulatory compliance matters.
- Provide independent oversight and challenge to the first line of defense.
- Set standards and establish frameworks for effective risk management.
- Monitor and test control effectiveness.
- Ensure regulatory compliance and risk management best practices.
- Advise on emerging regulatory risks and requirements.
- Assist with Asia Compliance Policies and Compliance Communication/ Alerts related tracking, on-going reviews, and rollouts, and coordinate with regional owners / stakeholders on the same.
- Assist the GCD team in checking relevant regulatory websites for Monthly regulatory and sanctions database (FINRA, SEC, UK FSA etc.) for press releases or monthly bulletins.
- Support the GCD team on status updates, and follow up on open Audit action items.
- Assist the GCD team with the coordination/tracking of various infrastructure projects and o.
- New Technologies Initiatives by liaising between service owners and regional.
- Compliance teams for project assessment, due diligence requirements, and approval.
- Influence the firm's regulatory compliance and risk management strategy.
- Develop expertise in critical financial regulations and risk management frameworks.
- Work with senior stakeholders across global markets.
- Shape the future of compliance processes in a leading financial institution.
- Build a career in a critical second line function that helps safeguard the firm's reputation and operations.
- Operating at the intersection of regulatory compliance and operational excellence, the team manages essential processes including Training & Affirmations and Policies Management, Licensing and Registrations, Regulatory Change and Reporting, and Infrastructure Advisory services.
- Support the GCD team in maintaining the latest information with regards to regulatory inspections, examinations, and any other communications including self reporting of breach cases to applicable authorities, and providing information on corresponding remedial actions taken within Nomura Group entities globally
Requirements
- Basic understanding of Investment Banking business and the Financial Regulatory environment.
- Registrations & Certifications Basic knowledge of the EMEA regulatory environment.
- High level of proficiency on key MS Office packages (Word, PowerPoint, Excel).
- Excellent written skills, with ability to analyse and summarise complex matters.
- Risk aware with an ability to prioritise information and topics accordingly.
- Ability to identify issues and know when to escalate. Methodical and attention to detail.
- Ability to represent the Compliance function credibly in discussions with other departments, including front office and Human Resources Good interpersonal skills; high ethical standard; collaborative.
- Strong attention to detail, with the ability to ensure data completeness and accuracy.
- Strong administrative skills and analytical approach to problem solving.
- Collaborates within and across teams, involving the right people Power BI / Tableau and other data visualization tools Knowledge of Excel macros.
- Strong time management skills
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.
