COM-Central Compliance

Nomura 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 broadly covers non-financial risk Compliance, Conduct and Operational Risk in
order to increase convergence and build a more robust risk and control framework. This team supports
Nomura Powai as well as global Compliance & Operational Risk teams to ensure effective risk
management and plays an integral part in managing the compliance, conduct and Operational risk of
the firm. Powai Compliance comprises of Core Compliance, Trade Monitoring, Electronic
Communication Surveillance, Financial Crime Monitoring, Control Room and Employee Compliance.
Powai Operational Risk comprises of the Core, Risk Analytics and Central framework teams to ensure
embedding of the Non- Financial Risk framework across the firm. The teams work closely to provide
advisory and controls solutions to global/regional teams via various strategic and operational
interventions.

Business Unit Overview:
Employee Compliance team provides support to Nomura entities globally on Personal Account Dealing
and Outside Business Interests & Affiliations Monitoring, Training & Affirmations and Policies
Management, Licensing and Registrations, Regulatory Change and Reporting and Infrastructure
Advisory functions. Team ensures Nomura staffs abide by the policies and procedures in place to meet
applicable compliance requirements and regulatory obligations. Employee Compliance team provides
support to onshore entities in providing guidance and oversight of staffs on various key Compliance
matters. Team assists regions on monitoring, identification and management of risks as Second Line
of Defence for the firm.

Position Specifications:

Role & Responsibilities:

Administer and support EMEA regional Compliance teams with monitoring, submitting and tracking of:
Online Training and Affirmations (Legal/Compliance Policies)
Face to Face Training (provided by regions) administrations and support
Regulatory Change Management
Registrations (Senior Manager Certifications Regime, 15a6 & Firm Element, Swap Dealer, etc)
Monitor and support local team while managing own BAU, ensure no process breaks across all functions.
Regular stakeholder meetings and follow-ups, maintain healthy relations with all
Promptly address queries and requests received from the regional teams
Coordinate with regional Compliance team and IT team to facilitate UAT testing for system enhancements and process efficiencies
Continuous effort towards enhancing the processes, identification of risks and eliminations of the same
Provide all necessary reports, periodic management information, and such other information as may be required by regional Compliance teams in connection with the processes supported
Develop a good understanding of the relevant applicable regulatory requirements and keep abreast of all regulatory updates and changes in order to support the process
Identify, facilitate and implement process improvement ideas to improve efficiency

Essentials:

Mind Set:
Mandatory Desired Domain
Basic understanding of Investment Banking business and the Financial Regulatory environment.
Collaborates within and across teams, involving the right people
Detail-minded; be able to ensure data completeness and accuracy Interpersonal
Good interpersonal skills; high ethical standards
Acts proactively to increase efficiency
Critical thinking, Risk Management,
Conflict Management
Knowledge of Training/Affirmations, Regulatory Change management, Registrations
Ability to represent the wider Compliance function credibly in discussions with other departments, especially the front office and Human Resources function
Demonstrable project management skills
Strong inter-personal and organisational skills
Strong time management skills
Experience with using Word, Excel, PowerPoint
Excellent attention to detail
Willingness to be flexible and adapt quickly to changing demands of the role
Experience with Power BI / Tableau and other data visualization tools will be added advantage

Nomura Core Competencies:

Competencies Behavioral 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 & Organizing Adaptability
Demonstrates accountability/commitment Takes on challenging assignments Executes priority actions on-time Keeps stakeholders updated Manages expectations Persists when confronted with resistance