COM Central Compliance

Nomura · Banking & Financial Services

Mumbai, India
On-site
Posted today
Legal & Compliance

About the job

The Senior Manage and Certification Regime (SMCR) Function team is responsible for managing the Senior Manager & Certification Regime requirements across Nomura’s UK entities. The SMCR Function is part of a broader team including Corporate Compliance and Compliance Training.

The responsibilities of this role include:

Running the end to end processes for the Certification regime, liaising with front office staff and staff in other corporate functions, including HR to enable the smooth running of the regime.

Manage the Annual Re-certification process to ensure that all staff remain fit and proper

Manage the process of undertaking updates to background screening on an ongoing basis

Liaising directly with the business on a day-to-day basis to support the rapid Certification of new staff and the ongoing management of background screening.

Providing regulatory advice to the business on the Certification Regime

Deliver Face to Face training all new staff that will be subject to Certification on SMCR

Perform quality assurance (QA) activity on offshore activities to ensure consistent quality and timeliness of tasks completed

Review and enhance onshore and offshore processes, policies and systems to ensure they are fully aligned and to highlight and support the implementation of control and process enhancements and efficiency gains.

Collating, contributing and reviewing monthly management information

Suggesting and helping with the implementation of enhancements and process remediation where required

Undertaking weekly, monthly and quarterly reconciliations

Working collaboratively with other areas of Compliance both within EMEA and Globally to ensure clarity and understanding of roles and responsibilities and consistency of approach

Experience and ability to work with in house built systems, or vendor systems to support the above areas.

Providing cover for the management oof the Senior Manager Regime, where required. This includes the process for keeping the Management Responsibility Maps up to date at all times.

Key objectives critical to success:

Ability to balance multiple conflicting demands

Ability to develop and maintain strong and mutually supportive working relationships both within Compliance and with other functions

Ability to analyse processes, procedures and policies, identifying, proposing and implementing enhancements

Ability to escalate effectively and appropriately

Ability to adapt quickly to internal and external change

Strong analytical, written and communication skills

Skills, experience, qualifications and knowledge required:

Essential

Proven knowledge of the Senior Manager and Certification Regime;

Demonstrable project management skills;

Strong inter-personal 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.

Desirable

Experience within a Compliance, Operational Risk, Internal Audit or HR environment and with experience of SM&CR gained at an investment bank, other large PRA/FCA authorised firm or regulatory consultancy;

Experience of using vendor or in house built systems for managing the Certification Regime

Good practical knowledge and understanding of the FCA and PRA senior management and certification regimes; and

Varied background within compliance or other functions including control testing and / or experience or audit methodologies applied to ensuring data completeness and integrity.

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).

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