Corporate Title
Analyst
Functional Title
Analyst
Experience
02 years
Qualification
Graduate/Post Graduate
Role & Responsibilities:
- Responsible for monitoring, investigating and reporting disclosures triggers for Substantial Share Holding, Takeover & Mergers and Short Positions at Corporation level and Legal Entity Level
- Ensure efficient identification of global regulatory updates and implement them for daily monitoring and disclosures.
- Responsible for DOI calculation procedures, methodology and development of static data and feed structures according to respective jurisdiction disclosure requirement.
- Close communication with regional stakeholders and organizing scheduled weekly/monthly calls with structured agenda and minutes
- Ensure correct interpretation of Disclosures regulations in collaboration with region
- Responsible for investigating and enquiring for mismatch of trade quantity with source data.
- Identification, mitigation, escalation and reporting of potential/current risk.
- Provide assistance to IT development team in developing IT tools and applications as SME from the process.
- Prepare business requirement documents, process map and assist IT team in developing IT infrastructure. As well responsible to conduct UATs for IT projects from Compliance operations.
- Ensure appropriate disclosures are updated in the reports, update procedures relating to the Disclosures function
- Ability to work in Team, interact with all levels of stakeholders in regional Disclosures teams
- Good Interpersonal skills; high ethical standard; collaborative; detail Oriented, willing to learn and adapt
- Identifying regulatory changes through different alerting systems, Regulators websites and stock exchange announcements and advises received from Legal dept. and applying them into monitoring and disclosure procedures.
Mind Set:
Mandatory
Desired
Domain
Excellent knowledge and understanding of capital markets participants, products and roles
Ability to handle confidential information and matters with discretion
35 years of Compliance experience in financial services industry
Selfstarter and ability to multitask
under pressure and meet various deadlines
Detail oriented, with strong followup and analytical approach to problem solving
Understanding about compliance Monitoring & disclosure functions
Ability to understand financial regulations and business function to process and procedures
Technical
Strong analytical and project management skills. Ability to challenge existing processes with a view to improvements and good knowledge in MS office (Excel, word and PPT)
Exposure to System development process, Process Mapping and comprehend business requirements into operational process.
Qualification and Experience:
- Graduate or PG with experience in the Compliance or capital market services industry
- Good analytical skills
- Ability to organize and analyse complex data sets
- Ability to demonstrate understanding of regulation & Financial markets
- Strong interpersonal and organizational skills
- Flexibility to work in rotational Shifts.
- Ability to use pivot tables and work with an advanced statistical database and statistical methods and functions
- Ability to easily grasp regulatory rules and comprehend Disclosures risks and develop extensive user requirements as well as recommend automated solutions to reduce those risks
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
