COM-Central Compliance

Location: Mumbai, India

Divisional Overview:

Powai Legal & Compliance (L&C) broadly covers the areas of Legal & Compliance and is responsible for building a robust risk and control framework. The Powai L&C teams support Nomura Powai entities, as well as L&C teams globally to ensure effective risk management of Legal & Compliance related risks for the firm. Powai Legal comprises of the Corporate Legal and Transaction Legal functions, which provide advice and support on corporate, employment and transactional matters. The Offshore Legal team supports global teams on corporate and secretarial matters, Global Markets, and Masters documentation related requirements. Powai Compliance comprises of functions such as Core Compliance, Trade Surveillance, Electronic Communication Surveillance, Financial Crime Monitoring, Control Room & Disclosure Monitoring and Central Compliance. The teams provide advisory and operations support to global / regional Compliance teams driven by global / regional policies and regulatory expectations.

Business Overview:

The Central Compliance team serves as a crucial element of second line of defence within Nomura's global risk management framework, delivering comprehensive oversight across multiple critical functions. Operating at the intersection of regulatory compliance and operational excellence, the team manages essential processes including Training & Affirmations and Policies Management, Licensing and Registrations, Regulatory Change and Reporting, and Infrastructure Advisory services. Through proactive risk identification and management, the team ensures adherence to regulatory obligations while providing strategic support to onshore entities. As stewards of compliance excellence, we partner with global stakeholders to strengthen Nomura's control environment and maintain the firm's commitment to regulatory standards and ethical business practices.

What We Offer:

We support employee wellbeing by ensuring a sense of purpose and belonging.

We offer a comprehensive range of wellbeing services which allows employees to get access to the assistance they need at any point in their wellbeing journey.

Our bespoke benefits support employees and their family’s holistic wellbeing and are inclusive of diverse identities and family structures.

Position Specifications:

Corporate Title

Analyst

Functional Title

Analyst / Senior Analyst

Experience

2-5 years

Qualification

Graduate

Requisition No.

15051

Role & Responsibilities:

Position yourself at the heart of Nomura's risk management framework as a crucial member of the second line of defence. This role empowers you to strengthen the firm's control environment by providing independent oversight, challenge, and guidance on regulatory compliance matters.

As a Second Line Function, we:

Provide independent oversight and challenge to the first line of defense

Set standards and establish frameworks for effective risk management

Monitor and test control effectiveness

Ensure regulatory compliance and risk management best practices

Advise on emerging regulatory risks and requirements

Key Responsibilities:

Assist with Asia Compliance Policies and Compliance Communication/ Alerts related

tracking, on-going reviews, and rollouts, and coordinate with regional owners / stakeholders on the same

Assist the GCD team in checking relevant regulatory websites for Monthly regulatory and sanctions database (FINRA, SEC, UK FSA etc.) for press releases or monthly bulletins

Support the GCD team in maintaining the latest information with regards to regulatory inspections, examinations , and any other communications including self reporting of breach cases to applicable authorities, and providing information on corresponding remedial actions taken within Nomura Group entities globally

Support the GCD team on status updates, and follow up on open Audit action items

Assist the GCD team with the coordination/tracking of various infrastructure projects and o

New Technologies Initiatives by liaising between service owners and regional

Compliance teams for project assessment, due diligence requirements, and approval.

This role offers an exceptional opportunity to:

I nfluence the firm's regulatory compliance and risk management strategy

Develop expertise in critical financial regulations and risk management frameworks

Work with senior stakeholders across global markets

Shape the future of compliance processes in a leading financial institution

Build a career in a critical second line function that helps safeguard the firm's reputation and operations

Mind Set:

Mandatory

Desired

Domain

Basic understanding of Investment Banking business and the Financial Regulatory environment

Knowledge of Regulatory

registrations & Certifications Basic knowledge of the EMEA regulatory environment

Demonstrable project management skills

High level of proficiency on key MS Office packages (Word, PowerPoint, Excel)

Excellent written skills, with ability to analyse and summarise complex matters

Risk aware with an ability to prioritise information and topics accordingly

Relevant experience in the financial services industry (or equivalent at regulators / industry bodies / consultancy firms) is desirable, with an understanding of current and emerging regulatory issues for the industry in the EMEA region Compliance Background

Ability to identify issues and know when to escalate. Methodical and attention to detail

Power BI / Tableau and other data visualization tools

Knowledge of Excel macros

Technical

Ability to represent the Compliance function credibly in discussions with other departments, including front office and Human Resources Good interpersonal skills; high ethical standard; collaborative; detail oriented, with a willingness to learn and adapt

Strong time management skills

Strong attention to detail, with the ability to ensure data completeness and accuracy

Strong administrative skills and analytical approach to problem solving

Willingness to be flexible and adapt quickly to changing demands of the role

Collaborates within and across teams, involving the right people Power BI / Tableau and other data visualization tools Knowledge of Excel macros

Basics Python coding

Basics of AI / LLM / ML

Nomura Leadership Behaviours:

Leadership Behaviours

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

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.

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