COM-Central Compliance

Overview:
 
Nomura is an Asia-headquartered financial services group with an integrated global network spanning over 30 countries. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its four business divisions: Retail, Asset Management, Wholesale (Global Markets and Investment Banking), and Merchant 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.

Divisional Overview:

 

Powai Compliance covers Compliance and Conduct in order to increase convergence and build a more robust risk and control framework. This team supports Nomura Powai as well as global Compliance teams to ensure effective implementation and management of Compliance protocols and procedures, and plays an integral part in managing the compliance and conduct of the firm. Powai Compliance comprises of Core Compliance, Trade Surveillance, Electronic Communication Surveillance, Financial Crime Monitoring, Control Room & Disclosure monitoring, Employee Compliance, and Powai Conduct Office. The teams work closely to provide advisory and controls solutions to global/regional teams via various strategic and operational interventions.

 

Business Unit Overview:

 

The Control Room team within Compliance is responsible for monitoring the firm’s & employees' trading activities designed to prevent and detect the misuse of material non-public information. Control room ensures that the employees’ surveillance is being carried out in accordance with the Chinese wall policy and the team makes sure there is no leakage of material non-public information

 

Position Specifications:

 

Corporate Title

Associate

Functional Title

Manager

Experience

8 – 10 years

Qualification

Graduate / Post Graduate

 

Role & Responsibilities

 

The individual will have diverse responsibilities, including but not limited to:-

• Responsible to perform different control room monitor and surveillance tasks within stringent deadlines.
• Responsible to review and perform Actimize and manual trade surveillance for Watch list, Restricted list, trading ahead of research checks and escalate potential breaches for second level review.
• Responsible for new joiner process on attestations for US staff with respect to Personal Account Dealing and OBI-A Policy
• Handle the employee trade monitoring process including reconciliations and account

Maintenance; send and timely chasers to staffs with pending statement submissions

• Ensure MIS data, Checklists and process related procedures are updated and accurate
• Responsible for investigating and enquiring for mismatch of source data.
• Responsible for identification, mitigation, escalation and reporting of potential/current risk.
• Provide assistance for developing IT tools by Documentation of business requirement performing UAT and provide alternative solutions.
• Good Interpersonal skills; high ethical standard; collaborative; detail Oriented, willing to learn and adapt.
• Must maintain confidentiality and privacy of Control Room information within and outside firm.
• Responsible to maintain good communication with regional stakeholders and organise, scheduled weekly/monthly calls with structured agenda and minutes.

Mind Set:

 

 

Mandatory

Desired

Domain

• Excellent knowledge and understanding of capital markets participants, products and roles
• 7-8 years of Compliance experience in financial services industry
• Detail oriented, with strong follow-up and  analytical approach to problem solving
• Ability to work under pressure

• Ability to handle confidential information and matters with discretion
• Self-starter and ability to multi-task under pressure and meet various deadlines
• Understanding about compliance Monitoring & Surveillance functions
• Flexibility to work in rotati