Description:
Overview:
Nomura is a global financial services group with an integrated network spanning approximately 30 countries and regions. 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). Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought leadership. For further information about Nomura, visit www.nomura.com
Nomura Services India, (Powai) supports Nomura’s businesses around the world. Powai’ s world class capabilities in trading support, research, information technology, financial control, operations, risk management and legal support have played a key role in facilitating Nomura’s global operations and are an integral part of Nomura’s global expansion plans. The Powai operation is a critical part of the platform to support the growth of Nomura’s global business.
Business Unit Overview:
Investment Banking Powai team is an extension of the regional Investment Banking (Front Office) teams supporting the following key areas:
- M&A
- Equity Advisory & Private Placements
- Secondary Advisory, Debt Advisory
- Coverage / Sector Banking
- Debt Capital Markets
- Acquisition Leveraged Finance
- Debt Syndicate
- Structured Solutions (Risk Solutions Group, Insurance Solutions Group)
- Japanese Equity Syndicate (Equities & Equity Linked Bonds)
Role Description
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. In particular:
- 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.
Skills, experience, qualifications and knowledge 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.
- Ability to project-manage multiple department-wide projects and initiatives concurrently.
- Strong interpersonal skills, with the ability to operate at all levels of the business and across the Wholesale division.
- Ability to build and maintain a network of relevant stakeholders across Banking and Corporate functions.
- Adaptability to change, with the ability to build relationships and collaborate effectively.
- Organized, methodical approach to work, with the ability to present complex subjects in an accessible way.
- 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.
- Openness to leveraging emerging technologies, including AI and automation tools, to enhance the efficiency and effectiveness of supervisory controls, MI, and reporting.
Position Specifications:
4–5 years of relevant IB Supervision (Front Office Supervision) experience
Preferred
- MBA or
- Chartered Accountant (CA) or
- Postgraduate or
- Lawyer/ Company Secretary
Nomura Core Competencies:
Competencies Behavioural Indicators
Culture & Conduct
Building Nomura’s Culture
Diversity & Inclusion Professional
Integrity Self-Awareness
Contributes to desired culture
Sets positive example
Aware of different values/styles
Holds high standards of behaviour
Aware of own strengths/weaknesses
Client-Centricity & Business Acumen
Commerciality Client-Centricity
Analytical Thinking & Problem Solving
Understands current market
Anticipates client needs
Pays attention to detail
Sees problems, recommends solutions
Strategy & Innovation
Strategic Thinking & Change
Decision Making & Judgment
Agility
Balances alternative views
Knows when to decide/when to escalate Champions
new ideas
Is both disciplined and entrepreneurial
Sees when to escalate
Leadership & Collaboration
Managing Talent
Recognizing and Motivating Supporting,
Developing
& Collaborating with others
Managing Conflict
Thinks differently
Balances alternative views
Knows when/how to compromise
Learns from experience
Seeks to develop
Communication & Connectivity
Articulation & Receptiveness Impact Connectivity
Assists in recruiting
Gives credit
Builds productive working relationships
Provides constructive, timely and specific feedback
Communication & Influence
Articulation and Receptiveness
Impact Connectivity
Adjusts style to suit topic
Balances listening/talking
Communicates with clarity and consideration
Is a proven and credible resource
Questions to understand others’ views
Builds internal contact network
Willingly effectively works across teams
Execution & Delivery
Driving Performance
Execution-Focus
Planning & Organising Adaptability
Demonstrates accountability/commitment
Takes on challenging assignments
Executes priority actions on-time
Keeps stakeholders updated
Manages expectations
Persists when confronted with resistance
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).
