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Nomura
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Control Office Associate / VP

Control Office Associate / VP

Nomura

6 - 9 years

8 - 11 Lacs

mumbai

Posted:12 hours ago| Platform:

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Skills Required

relationship management system architecture front office wealth management investment banking macros information technology financial services monitoring recruitment

Work Mode

Work from Office

Job Type

Full Time

Job Description

Position Specifications:

Role & Responsibilities:

Role

We are seeking a dynamic individual to join the Wholesale Front Office Regulatory Risk team, based in Powai.
This role is to build out a support team in Powai focusing solely on the regulatory control framework. It will involve working closely with the FORR team in London.

Responsibilities

Regulatory Framework & Analysis

:

Support the FORR team in London in building out the Wholesale regulatory control framework.
Work closely with GM, Investment Banking (IB) and other Corporate functions including Compliance and Legal to define and deliver the regulatory control framework.
Review regulatory requirements and define controls, seeking appropriate SME input and management approval and signoff.

Assist in monitoring and implementing regulatory requirements, particularly around MiFID II, EMIR, DoddFrank (CFTC Swap Dealer (SD) and SEC Security Based Swap Dealer (SBSD)) and Global Margin regimes.

Utilise the Corlytics platform to analyse and respond to Compliance escalations on global enforcement actions and regulatory developments.
Perform impact assessment and readacross analysis of enforcement actions for business relevance.
Create and maintain comprehensive rule maps for Wholesale policies and procedures owned by FORR.
Assist in the delivery of the annual Appendix A annual rule assessments for CFTC SD and SEC SBSD requirements.
Maintain global regulatory calendar and track implementation timelines.

Project Management & Control Framework Design:

Involvement in Wholesale regulatory implementation project management as a key stakeholder, defining, tracking and managing delivery of milestones within defined timelines, or timely escalation if delivery dates at risk.
Review and understand relevant Management Information (MI), working with Business individuals to understand exceptions, escalating to GM / IB Management and / or Compliance when necessary.
Creation and timely delivery of MI where systematic production is not available; documenting process and controls to ensure accuracy and completeness.
Work closely with the WCO supervision team to identify opportunities to embed regulatory controls into their framework; provide input into supervision policies, guidelines, and handbook.
Producing summaries and reports for regional teams.
Write presentations for FORR to deliver to various Wholesale committees and other senior management meetings.
Facilitate meetings, including taking of minutes, recording any actions resulting from the meeting and tracking progress.
Creation and maintenance of Wholesale policies and / or procedures.
Development of regulatory trading system controls, including drafting business requirements and performing UAT testing.

Mind Set:

Mandatory

Desired

Domain

Significant experience in a regulatory risk/control role or other relevant function, including Compliance
Strong understanding of global markets and regulatory frameworks, including working knowledge of regulations such as MiFID II, EMIR, Global Margin and DoddFrank
Excellent understanding of NonFinancial Regulatory Controls including approaches to the identification, assessment, management and monitoring of NonFinancial Regulatory Risks
A strong understanding of global markets and investment banking products and services including key Trading, Sales and Origination, processes and the associated controls
Good awareness of confidentiality

Professional certifications (compliance qualification)

Technical

Strong influencing and coordination skills to be able to manage stakeholders across multiple regions and functions to achieve meaningful regulatory framework control improvements
Excellent verbal and written communication skills
Sound administration, organisational and prioritisation skills
Ability to multitask effectively and to work on own initiative with minimum supervision
Ability to work under pressure to tight timelines
Ability to use own judgment and be proactive
Ability to think independently and challenge and escalate where necessary
People management and development
Effective team player with welldeveloped interpersonal skills
Enthusiastic, with the ability to be assertive
Organised and detailoriented
Flexibility to be productive and comfortable in several different situations and environments
An ability to remain objective whilst providing advice and support to relevant business areas and senior management

Strong understanding of Nomura System Architecture and Data warehouses
Basic project management skills (project definition, planning, risk and issue identification, milestone tracking and summary reporting)
Intermediate to advanced Excel and PowerPoint skills (knowledge of VBA / Macros is a plus)
Intermediate to advanced Python skills

Corporate Title

Associate / VP

Functional Title

Associate / VP

Experience

6-9 years of relevant experience

Qualification

MBA or Engineer preferred. Prior educational background in Finance would be an added advantage

*The benefits are subject to change and will be in accordance with Company s policies as may be applicable from time to time).

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