Analyst
Functional Title
Analyst/Sr. analyst
Experience
4 to 5 Years
Qualification
Graduate/Post Graduate
Role & Responsibilities:
- Analyse risk across markets by monitoring price/volume movement in the securities using surveillance application to safeguard the firm against any reputational and/or financial risk
- Review of alerts generated on suspicious trades and orders in OTC Fixed Income market
- Analysing alerts based on regulations in relation to Fixed Income markets (as advised by FCA)
- Understanding of various financial products like Equities, Fixed Income, Forex and Swaps
- Ensure that surveillance reviews are being performed properly from a qualitative and timeliness perspective.
- Review of surveillance exceptions with regions, business personnel and middle office.
- Participate in periodic risk assessments. Identifying gaps within the process and implementing appropriate controls
- Independently lead and drive projects from a surveillance perspective
- Prepare MI reporting and ensure accurate & timely reporting to all stake holders.
- Identify, facilitate, and implement process improvement ideas to improve efficiency.
Mind Set:
Mandatory
Desired
Domain
Experience in the Securities or Financial services industry
Collaborates within and across teams, involving the right people
Basic understanding of Investment Banking business and the Financial Regulatory environment.
Detailminded; 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 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 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 nonverbal behaviour
Demonstrates active listening
Conveys a positive image
Shares information
keeps people informed
Builds strong relationships
Execution & Delivery
Driving Performance ExecutionFocus Planning & Organising Adaptability
Maintains cando attitude
Sees tasks to completion
Manages dayto day work
Prioritises/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
