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 - 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. The teams support Nomura Powai as well as Compliance and Operational risk teams globally to ensure effective risk management and plays an integral part in managing compliance 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, Regional Analytics and Central teams to ensure embedding of the Non- Financial Risk framework across the firm.

Business Unit Overview:

The Trade Monitoring & Surveillance team looks into the risk across markets by monitoring price/volume movement of the clients using surveillance applications which safeguard the firm against any reputational and/or financial risk.

Position Specifications:

Corporate Title

Analyst/Associate

Functional Title

Asst. Manager/Manager

Experience

5 to 8 Years

Qualification

Graduate/Post Graduate

Role & Responsibilities:

Mind Set:

Mandatory

Desired

Domain

FOREX OTC product knowledge

FOREX OTC trade lifecycle

Operations in FOREX products

Collaborates within and across teams, involving the right people

Basic understanding of Investment Banking business and the Financial Regulatory environment.

Detail-minded; be able to ensure data completeness and accuracy

Technical

Good MS office skills

Knowledge of Excel macro

Presentation, MIS reports development skills

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 Recognising 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

Recognises others efforts

Offers to assist

Willing team participant

Shows interest

Communication & Influence

Articulation and Receptiveness

Impact Connectivity

Speaks/writes clearly

Aware of non-verbal behaviour

Demonstrates active listening

Conveys a positive image

Shares information

keeps people informed

Builds strong relationships

Execution & Delivery

Driving Performance Execution-Focus Planning & Organising Adaptability

Maintains can-do attitude

Sees tasks to completion

Manages day-to day work

Prioritises/meets deadlines

Asks questions to gain understanding

Responds positively to feedback

Equal Opportunity Employer: