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
Nomura 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 .
Nomura Services, India supports the group s global businesses. With worldclass capabilities in trading support, research, information technology, financial control, operations, risk management and legal support, the firm plays a key role in facilitating the group s global operations.
At Nomura, creating an inclusive workplace is a priority. Our approach to inclusion encompasses a variety of initiatives, including sensitization campaigns, implementing conducive policies & programs, providing infrastructure support and engaging in community events. Over time, we have made meaningful progress in these areas, and this commitment has been wellrecognized across the industry. We are proud recipients of the prestigious Top 10 Employers award by the India Workplace Equality Index (IWEI), IWEI Gold Employer of Choice awards, India CSR Leadership Award 2024 for Holistic Village Development Program and the YUVA Unstoppable Changemaker Awards.
Divisional Overview:
Powai Compliance broadly covers nonfinancial risk Compliance and Conduct in order to increase convergence and build a more robust risk and control framework. This team supports Nomura Powai as well as global Compliance teams to ensure effective risk management and plays an integral part in managing the compliance, conduct and Operational risk of the firm. Powai Compliance comprises of Core Compliance, Trade Surveillance, Electronic Communication Surveillance, Financial Crime Monitoring, Control Room & Disclosure monitoring and Central Compliance. The teams work closely to provide advisory and controls solutions to global/regional teams via various strategic and operational interventions.
Business Unit Overview:
Central Compliance team provides support to Nomura entities globally on Training & Affirmations Management, Policies Management, Licensing & Registrations, Regulatory Change & Reporting and Infrastructure Advisory functions. Team ensures Nomura staffs abide by the policies and procedures in place to meet applicable compliance requirements and regulatory obligations. Central Compliance team provides support to onshore entities in providing guidance and oversight of staffs on various key Compliance matters. Team assists regions on monitoring, identification and management of Compliance risks as Second Line of Defence for the firm.
Position Specifications:
Corporate Title
Analyst
Functional Title
Analyst
Experience
24 year
Qualification
Graduate/Post Graduate
Requisition No.
10615
Role & Responsibilities:
- Administer and support US Compliance team with monitoring, submitting and tracking of:
Regulatory Reporting (Blue Sheets)
Registrations (15a6, Firm Element, Swap Dealer)
Online / Face to Face Training and Affirmations (Compliance Policies)
- Promptly address queries and requests received from the US Compliance teams and staff relating to the processes supported
- Coordinate with US Compliance team and IT team to facilitate UAT testing for system enhancements and process efficiencies
- Provide all necessary reports, periodic management information, and such other information as may be required by US Compliance in connection with the processes supported
- Develop a good understanding of the relevant applicable regulatory requirements and keep abreast of all regulatory updates and changes in order to support the process
- Identify, facilitate and implement process improvement ideas to improve efficiency
Mind Set:
Mandatory
Desired
Domain
- Basic product knowledge
- Basic US regulatory environment knowledge
- Strong administrative skills and analytical approach to problem solving
- Basic product knowledge
- Basic US regulatory environment knowledge
- Strong administrative skills and analytical approach to problem solving
Technical
- Good MS office skills
- Knowledge of Regulatory registrations & Certifications, Training/Affirmations, US Blue Sheet Regulatory Reporting
- Ability to represent the wider Compliance function credibly in discussions with other departments, especially the front office and Human Resources function
- Demonstrable project management skills
- Strong interpersonal and organisational skills
- Strong time management skills
- Experience with using Word, Excel, PowerPoint
- Excellent attention to detail
- Willingness to be flexible and adapt quickly to changing demands of the role
- Good interpersonal skills; high ethical standard; collaborative; detail oriented, willing to learn and adapt
- Power BI / Tableau and other data visualization tools
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
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
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.
