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.
- 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, risk assessments and analyses.
- Create audit and regulatory examination preparedness reviews, including gap assessments.
- Establish and maintain robust FCC training programs.
- Support the transition from regional structure to global service-level deployment.
- Maintain various internal lists and risk/control registers.
- Perform L1 reviews of transaction monitoring alerts.
- Support initial assessment of L1 escalations of name screening and payment filtering alerts by Operations.
- Conduct due diligence checks and documentation for gifts and entertainment, vendor management, corporate events, sponsorships, and donations.
- Participate in UATs and reviews of key FCC monitoring systems.
- Provide support in various ad-hoc projects and initiatives.
Requirements
- Understanding of data quality controls and data governance principles.
- Strong understanding of AML, Sanctions and ABC legislations and principles.
- Good understanding of Global Markets, Investment Banking, Wealth Management business models and associated financial crime risks and red flag typologies.
- CAMS (Certified Anti-Money Laundering Specialist) certification desirable.
- Experience supporting audit, regulatory examinations, or risk assessment processes.
- Self-motivated with strong ownership, attention to detail, and commitment to quality.
- Experience in using enterprise-level alert monitoring systems and case management tools.
- Experience in MI development and design, proficiency in data analysis tools (e.g. Power BI).
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.
