COM-Central Compliance

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

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 Employee Compliance. The teams provide advisory and operations support to global / regional Compliance teams driven by global / regional policies and regulatory expectations.

Business Overview:

Communication Surveillance team provides support to Nomura entities globally on monitoring of electronic communication and voice surveillance. It ensures that the firm conform to rules and regulations prescribed by the relevant regulators in region. Team ensures that the employees are adhering to polices and there is no dissemination of information that can cause financial, reputational, regulatory and financial risk to the firm. It ensures that the employee communication channels & Chinese walls are adhered.

Position Specifications:

Corporate Title

Analyst

Functional Title

Analyst/Senior Analyst

Experience

2-5 years

Qualification

Graduate / Postgraduate

Role & Responsibilities:

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

• Ability to identify issues and know when to escalate. Methodical and attention to detail
• Self-starter and ability to multi-task under pressure and meet various deadlines
• Compliance Background.
• Prior experience of trade, e-comms or voice surveillance would be preferred

• Good MS office skills

• Good interpersonal skills; high ethical standard; collaborative; detail oriented, willing to learn and adapt
• Team Handling experience

Nomura Core Competencies:

Competencies

Behavioral Indicators

Culture & Conduct

Building Nomura s Culture Diversity & Inclusion Professional Integrity Self-Awareness

Aware of own impact

Respectful attitude

Professionalism

Gets involved

Client-Centricity & Business Acumen Commerciality Client-Centricity Analytical Thinking & Problem Solving

Product / service knowledge

Responsive, accountable

Detail orientated

Offers options/solutions

Strategy & Innovation

Strategic Thinking & Change

Decision Making & Judgement Agility

Stays up to date

Thinks differently

Demonstrates entrepreneurial thinking

Translates strategies into plans

Stays one step ahead

Open to new ways of thinking

Leadership & Collaboration

Managing Talent Recognizing and Motivating Supporting, Developing & Collaborating with others Managing Conflict

Stays up to date

Open to new ways of thinking

Sees when to escalate

Provides logical rationales

Shows initiative to develop

Leverages resources

Communication & Connectivity

Articulation & Receptiveness

Impact Connectivity

Recognizes others efforts

Offers to assist

Willing team participant

Shows interest

Communication & Influence

Articulation and Receptiveness

Impact Connectivity

Speaks/writes clearly

Aware of non-verbal behavior

Demonstrates active listening

Conveys a positive image

Shares information

keeps people informed

Builds strong relationships

Execution & Delivery

Driving Performance Execution-Focus Planning & Organizing Adaptability

Maintains can-do attitude

Sees tasks to completion

Manages day-to day work

Priorities /meets deadlines

Asks questions to gain understanding

Responds positively to feedback