COM-Business Compliance

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 Employee Compliance. The teams provide advisory and operations support to global / regional Compliance teams driven by global / regional policies and regulatory expectations.

Business Overview:

The independent CAO function actively supports and advances Powai Legal and Compliance's vision through several key initiatives. It designs and drive strategic initiatives that align with and propel Powai Legal and Compliance's goals. The team manages financial operations with precision and foresight, ensuring optimal resource allocation and fiscal health. The team Implements and maintains a robust administrative framework for both Powai and Offshore CAO activities, with a strong focus on enhancing control and governance measures. The team leads the globalization project by spearheading the transformation journey thereby fostering a culture of innovation and continuous improvement within the team, encouraging proactive problem-solving and creative solutions.

Position Specifications:

Corporate Title

Associate

Functional Title

AVP

Experience

12-15 years

Qualification

Graduate/Postgraduate

Requisition No.

14828

Role & Responsibilities:

Risk & Compliance Oversight

- Monitor and report on divisional operational risk and audit incidents, working closely with teams to identify and address issues before they escalate

- Coordinate Vendor Risk Management activities, including self-assessments and ongoing monitoring to ensure third-party compliance

- Prepare and maintain Senior Management Function (SMF) documentation, including statements of responsibilities and regulatory submissions, ensuring accuracy and completeness

- Support administering internal outsourcing governance meetings and ensure transition/outsourcing documentation is kept current.

Workforce Planning & Analytics

- Manage divisional headcount processes - tracking joiners, leavers, job requisitions, and position changes with precision

- Produce workforce reports and analytics, including trend analysis and organizational charts, working with HR and Finance to keep data accurate and current

Process & Documentation Management

- Create and maintain clear SOPs and playbooks for CAO activities, making it easy for teams to follow consistent processes

- Spot opportunities to improve and standardize operations across regions, sharing best practices that work

Business Continuity Coordination

- Lead BCP coordination efforts, developing and maintaining continuity documentation and recovery plans

- Organize testing and updates to ensure the division can respond effectively to disruptions

Reporting & Analysis

- Prepare detailed MIS reports for senior management, explaining variances and providing insights that support decision-making

- Utilize modern data visualization and automation tools to streamline reporting processes and improve data accuracy

Mind Set:

Mandatory

Desired

Domain /

Technical

- Experience working in CAO team

- Relationship Management experience

- Strong knowledge of Microsoft Office products – Outlook, Excel, PowerPoint and Word

- Excellent communication skills (Written and Oral) with experience in dealing with external stakeholders

- Analytical skills with attention to details and accuracy

- Ability to multi task and prioritize

- Flexibility (willingness to Change) – ability to adapt effectively to changing plans and priorities, and to be open and flexible when faced with changing circumstances.

- Presentation, MIS reports development skills

- Acts proactively to increase efficiency

- Knowledge of advanced excel is desirable, Tech Savvy

- Good to have Power-Bi knowledge.

- Detail-minded; be able to ensure data completeness and accuracy

- Experience in the Securities or Financial services industry

Interpersonal

- Have excellent communication and IT skills (Word, Excel, PowerPoint).

- Have strong attention to detail and produce accurate reports

- Collaborates within and across teams, involving the right people

- Critical thinking, Risk Management, Conflict Management

Nomura Leadership Behaviors Model:

Leadership Behaviors

Indicators

Explore Insights and Visions
Comprehensively analyze the nature of the problems faced and set the focus toward the future vision

Proactively gathers information relevant to one's own business and wider function.

Develops strategic ideas aligned with both internal organizational strategy and external market trends.

Identifies the issues and the root causes for gaps between ideal state and current situation.

Make Strategic Decisions
Analyze options and feasibility to resolve issues, in making judgments and recommendations

Demonstrates analytical approach by offering multiple solution options while balancing end goals with current challenges and assesses task feasibility within assigned scope to achieve objective.

Provides well-reasoned recommendations with logical rationale to support stakeholders' decision-making processes and effectively communicates insights to relevant parties.

Inspire Entrepreneurship in People
Promotes the vision and goals to others in such a way that inspires commitment and independent contributions

Communicates ideas and issues/concerns clearly and effectively.

Demonstrates a can-do attitude as a role model, embraces challenges for continuous improvement, and delivers planned actions with quality to achieve goals.

Elevate Organizational Capability
Maximize organizational productivity through leadership development and engagement

Actively pursues development opportunities to acquire necessary skills, proactively supports team members to enhance productivity, and contributes to team growth by systematizing and sharing business knowledge and experience.

Inclusion
Respect diverse perspectives and promote psychological safety and the creation of a risk culture

Respects diverse perspectives and engages in constructive dialogue to achieve organizational goals, leverages team members' diverse strengths to promote collaboration, and proactively identifies and communicates business and team management risks or improvement opportunities.

The firm is an equal opportunity employer, and we are committed to providing equal opportunities throughout employment including in the recruitment, training and development of employees. The firm and its affiliates 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.