Nomura India | COM-Central Compliance

Responsibilities

• Acting as the first point of contact within compliance for Client Assets requirements.
• Providing regulatory advice and challenge on the FCA Client Asset Rules.
• Providing second line support to the annual external audit process on Client Assets working with Operations and the External Auditors.
• Identifying and supporting regulatory change in respect of Client Assets.
• Acting as the second line oversight of Client Complaints, maintaining the relevant policy, process and documentation.
• Undertaking second line testing on Client Complaints.
• Maintain the Record Keeping framework for the UK entities.
• Manage an annual attestation process that all required records for MIFID, EMIR, MAR and SMCR are being kept in line with requirements.
• Undertake second line testing and assurance work that records are being kept in line with requirements and attestations.
• Non-Financial Regulatory Reporting (MiFID, EMIR, SFTR, CFTC & SEC).
• Interpreting the regulation including scope and field analysis.
• Supporting the effective implementation of Regulatory Change in partnership with key stakeholders.
• Participating in periodic compliance risk assessments, identifying gaps within the process, and implementing appropriate second line controls.
• Working collaboratively with a range of stakeholders ensuring positive and effective engagement.
• Preparing MI reporting and ensure accurate & timely reporting to all stakeholders.
• Assisting in enhancing the compliance monitoring and testing framework.
• Detailed knowledge of UK Client Asset requirements.
• The ability to liaise with key stakeholders across Operations and other functions.
• The ability to liaise with and help manage relationships with stakeholders such as external and internal auditors.
• Excellent communication and relationship management skills, including the ability to engage and manage front office and corporate colleagues across the firm.
• Proven experience in assessing and managing risk.
• Analytical approach with ability to provide constructive challenge.
• Strong resilience and ability to work under pressure.
• Risk aware with an ability to prioritise information and topics accordingly.
• High level of proficiency on key MS Office packages (Word, Powerpoint, Excel).

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.

• Industry: Global investment banking and financial services
• Headquarters: Tokyo, Japan (Nomura Holdings, Inc.)
• In India: Nomura Services India in Powai, Mumbai, a large centre supporting the group's businesses worldwide, with further offices in Mumbai and Gurugram