COM-Central Compliance

Divisional Overview:

 

Powai LCC broadly covers the areas of Legal, Compliance and Conduct, and is responsible for building a robust risk and control framework. The Powai LCC teams support Nomura Powai entities, as well as LCC teams globally to ensure effective risk management of Legal, Compliance and Conduct 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 Central Compliance. The teams provide advisory and operations support to global / regional Compliance teams driven by global / regional policies and regulatory expectations.

 

 

Business Unit Overview:

 

The Central Compliance team provides support to Nomura entities globally on Training & Affirmations and Policies Management, Licensing and Registrations, Regulatory Change and Reporting, and Infrastructure Advisory functions. The team ensures that Nomura staff members abide by applicable policies and procedures in order to meet applicable Compliance requirements and regulatory obligations. The Central Compliance team provides support to onshore entities in providing guidance and oversight on staff members on key Compliance matters. The team assists regions in the monitoring, identification and management of risks as Second Line of Defence function for the firm.

 

Position Specifications:

 

Function

US Training and Affirmation Support

Corporate Title

Analyst

Functional Title

Analyst / Senior Analyst

Experience

2 to 4 years

Qualification

Graduate / Post-Graduate

Requisition No.

           12743

 

Role & Responsibilities:

 

• Administer and support US Compliance team with complete administration of Online and Offline of Training and Affirmations (Compliance Policies)

 

• Promptly address queries and requests received from the US Compliance teams and staff relating to the process supported.

 

• Provide all necessary reports, periodic management information, and such other information as may be required by US Compliance in connection with the processes supported.

 

• Coordinate with US Compliance team and IT team to facilitate UAT testing for system enhancements and process efficiencies.

 

• Assist in Course development - Designing and developing interactive online Compliance Course.

 

• Ensure courses are fully tested with working functionality. Trouble shooting where necessary to identify and rectify and escalate issue.

 

• Identify, facilitate and implement process improvement ideas to improve efficiency. 

 

 

Mind Set:

 

 

Mandatory

Desired

Domain

• Basic product knowledge
• Basic US regulatory environment knowledge
• Strong administrative skills and analytical approach to problem solving

• Basic product knowledge 
• Basic US regulatory environment knowledge 
• Strong administrative skills and analytical approach to problem solving

Technical

• Good MS office skills 
• Knowledge of Regulatory registrations & Certifications, Training/Affirmations, US Blue Sheet Regulatory Reporting