Job Description: Compliance Analyst

Nomura 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 and considered thought leadership. For further information about Nomura, visit
www.nomura.com.

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:

The Compliance team consists of a dedicated workforce whose primary purpose is to ensure relevant
compliance monitoring and surveillance is in place, thereby ensuring oversight and governance and
also making sure that all the actions carried out at the firm conform with the rules and regulations
prescribed by the relevant regulators in regions. The team supports various compliance surveillance
and monitoring activities for regions.

Existing compliance management framework includes, but is not limited to, the following;

1. Compliance oversight to policies and procedures to govern compliance risks

2. Cultivate a strong compliance culture by creating awareness at all levels using structured
training programs
3. Timely and accurate reporting of risks to Senior Management and stakeholders including
KPI/KRI reporting
4. Conduct compliance risk assessments
5. Validate and update RCSA for comprehensiveness and adequacy
6. Define appropriate KRIs with thresholds and monitor breaches for identifies risks
7. Promote sharing of Best Practices across Compliance
8. Coordinate with other Control functions to strengthen overall internal control

Guidelines:

 Relevant experience of 3 yrs

 Minimum career break of 2yrs
 No of Positions : 1
Role & Responsibilities:

 Assisting in monitoring personal account dealing activities like new joiner affirmations,
account disclosures, reconciliation and responding to Employee queries as per staff dealing
policy
 Administration of Computer based and Face to Face trainings along with affirmations
 Perform level one review of surveillance functions
 MIS reporting to regional teams
 Tracking and coordination of regional compliance requirements
 Coordination with regional compliance teams for reporting and record keeping
 Assist regional process owners in ad-hoc requests

Mind set required:

Mandatory Desired
Experience in the Securities or Financial Collaborates within and across teams,
services industry involving the right people
Basic understanding of Investment
Detail-minded; be able to ensure data
Domain Banking business and the Financial
completeness and accuracy
Regulatory environment.
Good interpersonal skills; high ethical
Acts proactively to increase efficiency
standards
Good MS office skills
Technical Presentation, MIS reports development
skills,