Nomura India
Nomura India | COM-Central Compliance
Upload your resume & find all jobs matching it
See how well this job fits you — plus every other live job that matches your skills and experience.
PDF, DOCX or photo
Applying here? Tailor your resume to this job - see which keywords it asks for that your resume is missing.
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.
- Support the design and implement comprehensive governance and control frameworks across AML Advisory, AML Monitoring, Sanctions and ABC, including policies and standards.
- Develop and update risk-focused MI reports, conduct risk assessments and analyses for management review and decision-making.
- Coordinate audit and regulatory examination preparedness reviews, including gap assessments, remediation tracking and documentation support.
- Manage and enhance FCC training programs, including content development, delivery coordination and effectiveness tracking.
- Contribute to policy reviews and framework enhancements with subject matter expertise.
- Support and manage the transition from regional structure to global service-level deployment through effective project management and coordination.
- Maintain various internal lists and risk/control registers with regular quality reviews and accuracy checks.
- Oversee and ensure quality of L1 reviews of transaction monitoring alerts, including coaching and quality assurance.
- Coordinate and support initial assessment of L1 escalations of name screening and payment filtering alerts by Operations.
- Manage due diligence processes and maintain documentation for gifts and entertainment, vendor management, corporate events, sponsorships, and donations.
- Lead participation in UATs and conduct thorough reviews of key FCC monitoring systems.
- Manage and coordinate various ad-hoc projects and initiatives across FCC risk pillars.
- Collaborate with global and regional FCC teams to ensure consistent service delivery and alignment on priorities.
- Supervise and mentor team members, providing guidance and quality oversight.
Requirements
- Strong stakeholder management and communication skills to engage effectively across regions and time zones with ability to influence.
- Strong understanding of AML, Sanctions and ABC legislations, regulatory expectations and principles; Good understanding of Global Markets, Investment Banking, Wealth Management business models.
- CAMS (Certified Anti-Money Laundering Specialist) certification.
- Good understanding of data quality controls and data governance principles.
- Strong experience in using enterprise-level alert monitoring systems and case management tools; Demonstrated experience in MI development and design, proficiency in data analysis tools (e.g. Power BI, Excel).
- Solid experience supporting audit, regulatory examinations, and risk assessment processes with ability to work independently.
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.
