COM Central Compliance

Nomura · Banking & Financial Services

Mumbai, India
On-site
Posted today
Legal & Compliance

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About the job

Divisional Overview:

Powai L&C in NSIPL broadly covers the areas of Legal and Compliance is responsible for building a robust risk and control framework in Nomura. 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 Compliance, Control Room & Disclosure Monitoring and Central Compliance. The teams provide advisory and operations support to global Compliance teams driven by global / regional policies and regulatory expectations.

Business Overview:

Powai FCC plays a crucial role in safeguarding Nomura against financial crime risks on a risk-based approach by providing centralized global financial crime compliance (GFCC) services and offshoring support across 4 risk pillars – Anti-Money Laundering (AML) Advisory, AML Monitoring, Sanctions, and Anti-Bribery & Corruption (ABC) and 2 support offices – Governance & Strategy, Technology & Intelligence. Powai FCC works closely with global and regional FCC teams, as well as with relevant IT and Operations stakeholders, to safeguard the firm’s sustainable growth by enabling a balanced risk mitigation approach and enhancing operational excellence through a globalized Financial Crime Compliance operating model with standardized policies and robust control framework powered by advanced technology capabilities

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

Assistant Manager

Experience

7-10 years of experience in financial services with at least 4 years in FCC-related roles

Qualification

Bachelor's degree in Business, Accountancy, Law, Risk Management or related field; CAMS certification desirable

Requisition No.

14918

Role & Responsibilities:

The position reports directly to the Head of Powai FCC, based in Powai, with a matrix reporting line to the Global Lead of Governance & Strategy Office, based in Singapore.

Key responsibilities include:

Governance Framework Development & Maintenance

Design and implement comprehensive governance and control frameworks across AML Advisory, AML Monitoring, Sanctions and ABC, including policies and standards

Develop and update risk-focused MI reports, risk assessments and analyses

Create audit and regulatory examination preparedness reviews, including gap assessments

Establish and maintain robust FCC training programs

Centre of Excellence Establishment & Optimization

Support the transition from regional structure to global service-level deployment

Build and manage centralized global capabilities for the following GFCC services:

Maintain various internal lists and risk/control registers

Perform L1 reviews of transaction monitoring alerts

Support initial assessment of L1 escalations of name screening and payment filtering alerts by Operations

Conduct due diligence checks and documentation for gifts and entertainment, vendor management, corporate events, sponsorships, and donations

Participate in UATs and reviews of key FCC monitoring systems

Provide support in various ad-hoc projects and initiatives

Mind Set:

Mandatory

Desired

Domain

Understanding of data quality controls and data governance principles

Strong understanding of AML, Sanctions and ABC legislations and principles

Good understanding of Global Markets, Investment Banking, Wealth Management business models and associated financial crime risks and red flag typologies

CAMS (Certified Anti-Money Laundering Specialist) certification desirable

Experience supporting audit, regulatory examinations, or risk assessment processes

Change management mindset with adaptability to support transformation initiatives

Self-motivated with strong ownership, attention to detail, and commitment to quality

Technical

Experience in using enterprise-level alert monitoring systems and case management tools

Experience in MI development and design, proficiency in data analysis tools (e.g. Power BI)

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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