COM-Central Compliance

Nomura - Mumbai, IN

Mumbai, IN

Securities, Commodity Contracts, and Other Financial Investments and Related Activities

About the position

Nomura is a global financial services group with an integrated network spanning approximately 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Wealth Management, Investment Management, and Wholesale (Global Markets and Investment Banking). Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought leadership. 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.

Responsibilities

• Ensure adherence to global and regional Financial Crime related policies and procedures.
• Be a key point of contact with regards to providing advice to Senior Management and other relevant stakeholders on Financial Crime Related Matters.
• Ensure effective and timely escalation of issues requiring management attention and review.
• Work with regional stakeholders towards implementing best practices and minimum operating standards.
• Review alerts generated against international sanctions (OFAC), politically exposed persons, and adverse media lists.
• Review and advise on other financial crime related matters including Anti-bribery and Corruption (e.g., Gift and Entertainment escalations) and Sanctions.
• Review any suspicious activities or transactions and assist the Money Laundering Reporting officer.
• Participate in regional or global projects or initiatives, as required, resulting from changes in legal or regulatory requirements and / or expectations and new business strategies.
• Assist the FCMT Team Lead in liaising with stakeholders on relevant related Financial Crime matters.
• Ensure support for execution of senior management functional responsibilities, as applicable.
• Prepare and present MIS to senior management and key stakeholders.
• Ensure quality deliverables as per standard operating procedures, in a timely manner.
• Ensure strict adherence to the firm's and process related guidelines.
• Identify processing and operational risks proactively and formulate steps to mitigate the same.

Requirements

• Basic understanding of Investment Banking business and the Financial Regulatory environment.
• Sound understanding of AML, KYC, Sanctions and Conflict of Interest related regulations, processes and functions.
• Prior experience in the Securities or Financial services industry.
• Sound product knowledge of financial products.
• Good MS office skills, Presentation, MIS, Data Analysis, Project Management.
• Proven ability to think 'outside the box' in case existing procedures do not specifically indicate a solution.
• Excellent communication skills (Written and Oral) with experience in dealing with external stakeholders.
• Eye for detail to proactively identify issues and breaches in order to mitigate potential risk.
• Compliance Background.
• Knowledge of advanced Excel functions / Excel macros.
• Ability to multitask and handle high pressure situations.
• Flexibility (Openness to Change) - Adaptable to change, open and flexible when faced with changing circumstances and ambiguity.

Nice-to-haves

• ACAMS/CAMI or any other AML relevant certification will be preferred.