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
Associate
Functional Title
Manager
Experience
710 years
Qualification
Graduate / Postgraduate
Role & Responsibilities:
- Responsible for the surveillance of electronic communications and voice communications Mails/Messages/Voice calls internal and external to the Firm
- Identify any noncompliant or suspicious activity and escalate questionable electronic communications to the relevant compliance officer/regional stakeholders
- Perform quality checks on the alerts closed
- Remain updated on developments and changes concerning relevant regulations
- Develop and maintain a good understanding of the Firm s business groups and products, including, but not limited to, Fixed Income, Investment Banking, Equity Research and Equities
- Good Knowledge of the regulatory environment
- Identifying gaps within the process and implementing appropriate controls
- MIS
Mind Set:
Mandatory
Desired
Domain
- 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
- Selfstarter and ability to multitask under pressure and meet various deadlines
- Compliance Background.
- Prior experience of Communication or Trade surveillance would be preferred
Technical
- 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 SelfAwareness
Aware of own impact
Respectful attitude
Professionalism
Gets involved
ClientCentricity & Business Acumen Commerciality ClientCentricity 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 nonverbal behavior
Demonstrates active listening
Conveys a positive image
Shares information
keeps people informed
Builds strong relationships
Execution & Delivery
Driving Performance ExecutionFocus Planning & Organizing Adaptability
Maintains cando attitude
Sees tasks to completion
Manages dayto day work
Priorities /meets deadlines
Asks questions to gain understanding
Responds positively to feedback
Nomura Leadership Behaviours:
LeadershipBehaviours
Description
Element
Exploring Insights & Vision
Comprehensively analyse the nature
of the problems we face and set our focus toward the future vision
- Gather Intelligence
- Create a vision
- Identify an issue
Making Strategic Decisions
Analyse options and feasibility to resolve issues, in making
judgments and recommendations
- Identify countermeasures
- Assess feasibility
- Make a judgment
Inspiring Entrepreneurship in People
Promotes the vision and goals to others in such a way that inspires commitment and independent contributions
Elevating Organizational Capacity
Maximize organizational productivity through leadership development and
engagement
- Have an ownership in own development
- Support other s growth
- Encourage organizational growth
Inclusion
Respect diverse perspectives and
promote psychological safety and the creation of a risk culture
- Foster psychological
safety - Encourage the active
participation of all talent - Foster a risk culture
Equal Opportunity Employer:
We are committed to providing equal opportunities throughout employment including in the recruitment, training and development of employees. We prohibit discrimination in the workplace whether on grounds of gender, marital or domestic partnership status, pregnancy, carer s responsibilities, sexual orientation, gender identity, gender expression, race, color, national or ethnic origins, religious belief, disability or age.
*Applying for this role does not amount to a job offer or create an obligation on Nomura to provide a job offer. The expression "Nomura" refers to Nomura Services India Private Limited together with its affiliates.
