Description:
Divisional Overview:
Powai L & C broadly covers the areas of Legal and Compliance and is responsible for building a robust risk and control framework. The Powai L & C teams support Nomura Powai entities, as well as L & C teams globally to ensure effective risk management of Legal and Compliance related risks for the firm. Powai Legal comprises of the Corporate Legal and Transaction Legal functions, which provide advice and support on corporate, employment and transactional matters. The Offshore Legal team supports global teams on corporate and secretarial matters, Global Markets, and Masters documentation related requirements. Powai Compliance comprises of functions such as Core Compliance, Trade Surveillance, Electronic Communication Surveillance, Financial Crime Monitoring, Control Room & Disclosure Monitoring and Employee Compliance. The teams provide advisory and operations support to global / regional Compliance teams driven by global / regional policies and regulatory expectations.
Business Overview:
The GM Compliance department is responsible for establishing and maintaining an effective compliance framework across Nomura's operations, ensuring adherence to applicable laws, regulations and internal policies. Within Global Markets, the Compliance team provides advisory support, regulatory change management, and oversight of conduct risks to support the Global Markets businesses across the region
What We Offer:
- We support employee wellbeing by ensuring a sense of purpose and belonging.
- We offer a comprehensive range of wellbeing services which allows employees to get access to the assistance they need at any point in their wellbeing journey.
- Our bespoke benefits support employees and their family’s holistic wellbeing and are inclusive of diverse identities and family structures.
Position Specifications:
Role & Responsibilities:
Trading Support and Front-Office Advisory:
- Provide day-to-day compliance support and guidance to Sales and Trading teams on equities trading matters, always ensuring adherence to internal procedures and regulatory standards throughout trading hours
- Respond promptly to front-office queries relating to order handling, trade execution, client instructions, best execution and market conduct, escalating to senior compliance staff where appropriate
- Work with business teams to address client inquiries in a manner that supports client relationships while ensuring regulatory expectations and compliance standards are met
- Monitor trading activity and communications for potential compliance issues, and support the investigation and remediation of incidents as directed
Regulatory Coordination and Controls:
- Participate in compliance independent reviews and/or assurance testing programs to ensure business processes and controls meet required standards
- Prepare and submit routine regulatory filings and notifications on time, ensuring accuracy and completeness of information
- Coordinate information requests for regulatory examinations and audits when required, liaising with business, operations and other stakeholders to compile necessary materials
- Assist in maintaining compliance policies, procedures and guidance documents relevant to the Cash Equities business, ensuring they remain current and fit for purpose
Regulatory Change and Management Information:
- Support senior compliance staff in monitoring new regulatory initiatives and developments relevant to the Cash Equities business, and assist in implementing changes across different business teams
- Assist in preparing regular management information (MI) reports and presentations on compliance activities, key risk indicators, incident trends and regulatory updates for senior management
- Collaborate with various internal stakeholders across the organization to ensure effective processes, promote strong conduct standards, and support a positive compliance culture
- Maintain accurate records of compliance activities, decisions and escalations in accordance with document retention and governance requirements
Regional collaboration and Coordination
- Serve as the front-line representative for compliance, risk and deal with regional stakeholders.
- Provide MI with actionable insights, metrics, and management information to senior leadership and governance forums.
- Contribute to global surveillance policy development and control enhancements.
Change management and Innovation
- Fostering and implementing automation, AI, and advanced analytics
- Lead process improvement initiatives to optimise workflows and reduce operational risk.
- Support global transformation programs and align local/regional initiatives with enterprise objectives
Mind Set:
Asian Financial Markets and Products: Understanding of various asset classes, market structures, trading mechanisms, and financial instruments.
Data Analysis: Familiarity with statistical concepts, surveillance systems.
Asian market regulatory framework and market abuse: Knowledge of Asian market abuse regulations, typologies.
Risk Management and Compliance: Understanding of various risk types, compliance frameworks, and ethical standards in the financial industry.
Trading Strategies and Behaviours: Comprehension of common trading strategies, algorithmic trading, and potential abusive practices.
Experience of dealing with various regional stakeholders.
Knowledge of Excel macro and VBA
Presentation, MIS reports development skills
Nomura Leadership Behaviours:
Exploring Insights & Vision
Comprehensively analyse the nature
of the problems we face and set our
focus toward the future vision
- Gather Intelligence
- Create a vision
- Identify an issue
Making Strategic Decisions
Analyse options and feasibility to resolve issues, in making
judgments and recommendations
- Identify countermeasures
- Assess feasibility
- Make a judgment
Inspiring Entrepreneurship in People
Promotes the vision and goals to others in such a way that inspires commitment and independent contributions
Elevating Organizational Capacity
Maximize organizational productivity through leadership development and
engagement
- Have an ownership in own development
- Support other‘s growth
- Encourage organizational growth
Respect diverse perspectives and
promote psychological safety
and the creation of a risk culture
- Foster psychological
safety
- Encourage the active
participation of all talent
- Foster a risk culture
We are committed to providing equal opportunities throughout employment including in the recruitment, training and development of employees. We prohibit discrimination in the workplace whether on grounds of gender, marital or domestic partnership status, pregnancy, carer’s responsibilities, sexual orientation, gender identity, gender expression, race, color, national or ethnic origins, religious belief, disability or age.
- Applying for this role does not amount to a job offer or create an obligation on Nomura to provide a job offer. The expression "Nomura" refers to Nomura Services India Private Limited together with its affiliates.
- The benefits are subject to change and will be in accordance with Company’s policies as may be applicable from time to time).
