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192 Nomura Holdings Jobs
COM-Compliance Professional
Nomura Holdings
posted 4d ago
Job Role Insights
Flexible timing
Key skills for the job
Job Description
Role & Responsibilities:
- Implementing the Core Compliance & Conduct Operating Model
- Engaging with all Powai functions, providing advisory support, and participating in / driving governance forums from a Risk Management perspective
- Designing, updating and implementing Compliance and Conduct relevant policies and procedures
- Designing and implementing the annual Training & Awareness plan, covering Compliance & Conduct relevant topics
- Designing and implementing Compliance and Conduct Risk Assessment frameworks, leading to the identification of focus areas from a Compliance and Conduct perspective
- Monitoring & Testing of Compliance and Conduct relevant risks
- Managing issues, and ensuring action plans are implemented effectively from a risk mitigation perspective
- Conducting Surveillance related activities, in line with Compliance requirements
- Driving initiatives such as the Annual Affirmation program
- Performing data analysis on Core Compliance relevant metrics, leading to effective risk mitigation strategies
- Ongoing interaction and partnership with senior stakeholders and counterparts, locally and in the region
Mind Set:
Mandatory
Desired
Domain / Technical
- 2 - 5 years of demonstrated experience in a Compliance and / or Control and / or Line of Defence (LoD) function in the financial services industry
- Excellent communication and influencing skills, with a good understanding of Compliance and Regulatory requirements
- Demonstrated experience with regards to design / implementation / participation in Risk Assessment related initiatives
- Good understanding of the Investment Banking business and the Financial Services regulatory environment
- Proven project management and people management experience would be an added advantage
- Knowledge and understanding of Data Analytics tools and technologies
Interpersonal
- Strong interpersonal and administrative skills, mature judgement, and high ethical standards
- Pro-active, with a mind set to drive efficiency
- Ability to identify issues and knowing when to escalate
- Self-starter, with an ability to multi-task
- Critical thinking, Conflict Management
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
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
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
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
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
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
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
Takes on challenging assignments
Executes priority actions on-time
Keeps stakeholders updated
Manages expectations
Persists when confronted with resistance
Employment Type: Full Time, Permanent
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What Nomura Holdings employees are saying about work life
based on 519 employees
Flexible timing
Monday to Friday
No travel
Day Shift
Nomura Holdings Benefits
Submitted by Company
Health and wellness benefits Equal opportunity policy Flexible working policy Prevention of Sexual Harassment (POSH) Leave policies to support well-being and work-life balance
Submitted by Employees
View more benefits 
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Nomura Holdings Mumbai Office Locations
Mumbai Office
Nomura, South Avenue Road, Hiranandani Gardens, Powai
Mumbai
Maharashtra 400076
Maharashtra 400076
Mumbai Office
Ceejay House, Level 11, Plot F Shivsagar Estate, Dr. Annie Besant Road, Worli
Mumbai
400 018
400 018
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