Nomura India
Nomura India | IB - Risk & Control COO
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Job Highlights
About the team
Nomura is a global financial services group with an integrated network spanning approximately 30 countries and regions. Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought leadership.
Responsibilities
- By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Wealth Management, Investment Management, and Wholesale (Global Markets and Investment Banking).
- This role is within the International IB Risk and Control Team.
- The role will be responsible for supporting the Head of IBCO, International in developing and operating the risk and control environment in Investment Banking across EMEA & AEJ regions.
- Equity Advisory & Private Placements.
- Structured Solutions (Risk Solutions Group, Insurance Solutions Group).
- Japanese Equity Syndicate (Equities & Equity Linked Bonds).
- Support IB Supervisors in implementing and operating the IB Supervision Framework.
- Implement and maintain the IB Key Supervisory Controls (KSC).
- Perform banking controls as required, including KYC Salesforce control and Adverse News.
- Review Data Loss Prevention (DLP) alerts from a first-line perspective.
- Implement conduct risk frameworks in line with regional requirements.
- Investigate conduct events and incidents as required.
- Support Global / Wholesale reporting and MI as required.
- Manage the IB new joiner, transfer, and Supervisor processes, including associated training.
- Review and maintain the IB Conflicts Registers.
- Support the cross-border frameworks — ranging from travel to Hong Kong (temporary licensing), Singapore travel and the FRC framework, UK cross-border interactions, and US 15a-6 requirements.
- Maintain a training and licensing requirements register / tool.
- Support the review and drafting of IBD Policies and Procedures and the IB Supervision Handbook.
- Coordinate with IT / Development teams to enhance and automate the supervision framework — including, but not limited to, personal and compliance conflict-of-interest reporting, registrations, and supervision reports.
- Collate information from stakeholders and prepare meeting packs, MI, and minutes for IB governance forums and committees.
- Support the function in collating information and drafting responses to Audit, Compliance, and external reviews.
- Provide support to non-financial risk programs, including regulatory and business change globally, as required.
- Strong experience in Investment Banking, with a solid understanding of the product spectrum and IB operations.
- Proven experience operating a risk and control environment within a large front-office business.
- Ability to engage with, and deliver to, stakeholders across the Investment Banking business.
Requirements
- Strong, independent judgment with the confidence to constructively challenge senior front-office stakeholders while maintaining objectivity and a clear escalation mindset.
- Excellent written skills, with the ability to draft and review policies, procedures, handbooks, investigation findings, and governance MI to a high standard.
- Experience: 4–5 years of relevant IB Supervision (Front Office Supervision) experience
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.
