Job Description

Overview: Nomura is an Asia-headquartered financial services group with an integrated global network spanning over 30 countries. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its four business divisions: Retail, Asset Management, Wholesale (Global Markets and Investment Banking), and Merchant Banking. Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions andconsidered thought leadership. For further information about Nomura, visit Nomura Services India, (Powai) supports Nomura\'s businesses around the world. Powai\' s world class capabilities in trading support, research, information technology, financial control, operations, risk management and legal support have played a key role in facilitating Nomura\'s global operations and are an integral part of Nomura\'s global expansion plans. The Powai operation is a critical part of the platform to support the growth of Nomura\'s global business. Divisional Overview: Powai LCC broadly covers the areas of Legal, Compliance and Conduct, and is responsible for building a robust risk and control framework. The Powai LCC teams support Nomura Powai entities, as well as LCC teams globally to ensure effective risk management of Legal, Compliance and Conduct 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 Unit Overview: The Central Compliance team provides support to Nomura entities globally on Training & Affirmations and Policies Management, Licensing and Registrations, Regulatory Change and Reporting, and Infrastructure Advisory functions. The team ensures that Nomura staff members abide by applicable policies and procedures in order to meet applicable Compliance requirements and regulatory obligations. The Central Compliance team provides support to onshore entities in providing guidance and oversight on staff members on key Compliance matters. The team assists regions in the monitoring, identification and management of risks as Second Line of Defence function for the firm. Position Specifications Function Central Compliance Corporate Title Analyst Experience Analyst/Senior Analyst Qualification Graduate / Post-Graduate Requisition No. JR 4028 Role & Responsibilities: Assist Compliance with the overall management of staff member regulatory license related applications and cross border registrations with MAS (Monetary Authority of Singapore) / SC (Securities Commission Malaysia) / BM (Bursa Malaysia) Coordinate with staff members for Fitness & Properness (F&P) assessments and licensing related documentation requirements Maintain and manage Licensing Summary Sheets and trackers Assist with preparing monthly, quarterly and yearly Compliance reports Assist with the Annual License Attestation exercise conducted for Nomura Singapore staff members Assist stakeholders with coordinating / responding to regulatory submissions / requests for Malaysia regulators (Securities Commission Malaysia and Bursa Malaysia) Assist with conducting Bankruptcy related checks for Malaysia staff members in order to ensure adherence to Securities Commission Malaysia requirements Assist with the assignment of NISM certifications to Ceejay (India) staff members Provide coverage and support with Hong Kong Licensing processes as a back- up support Respond to employee and audit queries in addition to BAU and ad-hoc reports requests Mind Set: Mandatory Desired Domain / Technical Basic understanding of Investment Banking business and the Financial Regulatory environment Basic knowledge of the APAC regulatory environment Good MS office skills Knowledge of Regulatory registrations & Certifications Demonstrable project management skills Experience with using Word, Excel, PowerPoint Compliance Background. Power BI / Tableau and other data visualization tools Knowledge of Excel macros Interpersonal 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 Nomura Core Competencies: Competencies Behavioral Indicators Culture & Conduct Building Nomura\'s Culture Diversity & Inclusion Professional Integrity Self-Awareness Contributes to desired culture Sets positive example Aware of different values/styles Holds high standards of behaviour Aware of own strengths/weaknesses Client-Centricity & Business Acumen Commerciality Client-Centricity Analytical Thinking & Problem Solving Understands current market Anticipates client needs Pays attention to detail Sees problems, recommends solutions Strategy & Innovation Strategic Thinking & Change Decision Making & Judgment Agility Balances alternative views Knows when to decide/when to escalate Champions new ideas Is both disciplined and entrepreneurial Sees when to escalate Leadership & Collaboration Managing Talent Recognizing and Motivating Supporting, Developing & Collaborating with others Managing Conflict Thinks differently Balances alternative views Knows when/how to compromise Learns from experience Seeks to develop Communication & Connectivity Articulation & Receptiveness Impact Connectivity Assists in recruiting Gives credit Builds productive working relationships Provides constructive, timely and specific feedback Communication & Influence Articulation and Receptiveness Impact Connectivity Adjusts style to suit topic Balances listening/talking Communicates with clarity and consideration Is a proven and credible resource Questions to understand others\' views Builds internal contact network Willingly effectively works across teams Execution & Delivery Driving Performance Execution-Focus Planning & Organizing Adaptability Demonstrates accountability/commitment Takes on challenging assignments Executes priority actions on-time Keeps stakeholders updated Manages expectations Persists when confronted with resistance Equal Opportunity Employer: Nomura is an equal opportunities employer. We are committed to providing equal opportunities throughout employment including in the recruitment, training and development of employees (including promotion, transfers, assignments and beliefs). We prohibit discrimination in the workplace whether on grounds of gender, marital or domestic partnership status, pregnancy, career\'s responsibilities, sexual orientation, gender identity, race, color, national or ethnic origins, religious belief, disability or age. Our objective is to attract job applications and applications for development from the best possible candidates and to retain the best people.

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