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Nomura
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COM-Central Compliance Professional

COM-Central Compliance Professional

Nomura

2 - 6 years

4 - 8 Lacs

mumbai

Posted:1 day ago| Platform:

Apply

Skills Required

data analysis automation wealth management investment banking ms office risk management information technology financial services monitoring recruitment

Work Mode

Work from Office

Job Type

Full Time

Job Description

Role Responsibilities

Monitoring Activities

Review employee communications (email, chat, voice, and other platforms) using surveillance tools.
Conduct detailed investigations into potential misconducts like insider trading, market manipulation, front running, or policy breaches.
Document findings, escalate issues, and ensure proper closure of cases in line with internal protocols.

Communication surveillance Risk Management Regulatory Alignment:

Apply knowledge of global regulatory frameworks (MAR, MiFID II, SEC, SEBI, FCA) to assess potential misconduct.
Escalate highrisk matters to respective regional surveillance and compliance team in a timely and accurate manner.
Contribute to thematic reviews and adhoc investigations as required.

Data Analytics

Support enhancement of monitoring scenarios by providing feedback on alert quality and trends and performing regular parameter testing.
Assist in testing and validating new models, lexicons and system changes.

Collaboration Reporting

Work closely with regional stakeholders to provide insights from surveillance investigations.
Prepare clear, concise, and wellstructured investigation reports.
Contribute to management information (MI) and trend reporting for governance purposes.

Continuous Improvement

Identify process gaps, inefficiencies, and recommend improvements to strengthen surveillance coverage.
Stay abreast of market developments, new products, and regulatory changes impacting surveillance requirements.
Participate in automation, AI, and process optimization initiatives to improve alert handling and effectiveness

Mind Set:

Mandatory

Desired

Domain

Financial Markets and Products: Understanding of various asset classes, market structures, trading mechanisms, and financial instruments.

Data Analysis: Ability to ensure data completeness and accuracy

Regulatory Framework and Market Abuse: Knowledge of market abuse regulations, typologies.

Risk Management and Compliance: Understanding of various risk types, compliance frameworks, and ethical standards in the financial industry.

Trading Strategies and Behaviours: Comprehension of potential abusive practices.

Experience of dealing with various regional stakeholders.

Technical

Good MS office skills

Knowledge of Excel macro and VBA

Presentation, MIS reports development skills

Knowledge of AI use

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

Influence
Inspire
Commit

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

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Nomura

Financial Services

Tokyo

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Personal Settings

COM-Central Compliance Professional

Experience & Salary

Skills Required

Work Mode

Job Type

Job Description

Role Responsibilities

Monitoring Activities

Communication surveillance Risk Management Regulatory Alignment:

Data Analytics

Collaboration Reporting

Continuous Improvement

Mind Set:

Mandatory

Desired

Domain

Technical

Nomura Leadership Behaviours:

LeadershipBehaviours

Description

Element

More Jobs at Nomura