Overview:
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. 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.
Nomura Overview:
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. For further information about Nomura, visit www.nomura.com.
Nomura Services, India supports the group’s global businesses. With world-class capabilities in trading support, research, information technology, financial control, operations, risk management and legal support, the firm plays a key role in facilitating the group’s global operations.
At Nomura, creating an inclusive workplace is a priority. Our approach to inclusion encompasses a variety of initiatives, including sensitization campaigns, implementing conducive policies & programs, providing infrastructure support and engaging in community events. Over time, we have made meaningful progress in these areas, and this commitment has been well-recognized across the industry. We are proud recipients of the prestigious Top 10 Employers award by the India Workplace Equality Index (IWEI), IWEI Gold Employer of Choice awards, India CSR Leadership Award 2024 for Holistic Village Development Program and the YUVA Unstoppable Changemaker Awards.
Divisional Overview:
Powai - Compliance broadly covers non-financial risk Compliance, Conduct and Operational Risk in order to increase convergence and build a more robust risk and control framework. The teams support Nomura Powai as well as Compliance and Operational risk teams globally to ensure effective risk management and plays an integral part in managing compliance risk of the firm. Powai Compliance comprises of Core Compliance, Trade Monitoring, Electronic Communication Surveillance, Financial Crime Monitoring, Control Room and Employee Compliance. Powai Operational Risk comprises of the Core, Regional Analytics and Central teams to ensure embedding of the Non- Financial Risk framework across the firm.
Business Unit Overview:
The Trade Monitoring & Surveillance team looks into the risk across markets by monitoring price/volume movement of the clients using surveillance applications which safeguard the firm against any reputational and/or financial risk.
Position Specifications:
Corporate Title
Analyst
Functional Title
Analyst/Sr. analyst
Experience
4 to 5 Years
Qualification
Graduate/Post Graduate
Requisition No.
10849
Role & Responsibilities:
- Analyse risk across markets by monitoring price/volume movement in the securities using surveillance application to safeguard the firm against any reputational and/or financial risk
- Review of alerts generated on suspicious trades and orders in OTC Fixed Income market
- Analysing alerts based on regulations in relation to Fixed Income markets (as advised by FCA)
- Understanding of various financial products like Equities, Fixed Income, Forex and Swaps
- Ensure that surveillance reviews are being performed properly from a qualitative and timeliness perspective.
- Review of surveillance exceptions with regions, business personnel and middle office.
- Participate in periodic risk assessments. Identifying gaps within the process and implementing appropriate controls
- Independently lead and drive projects from a surveillance perspective
- Prepare MI reporting and ensure accurate & timely reporting to all stake holders.
- Identify, facilitate, and implement process improvement ideas to improve efficiency.
Mind Set:
Mandatory
Desired
Domain
Experience in the Securities or Financial services industry
Collaborates within and across teams, involving the right people
Basic understanding of Investment Banking business and the Financial Regulatory environment.
Detail-minded; be able to ensure data completeness and accuracy
Technical
Good MS office skills
Knowledge of Excel macro
Presentation, MIS reports development skills
Nomura Core Competencies:
Competencies
Behavioral Indicators
Culture & Conduct
Building Nomura’s Culture Diversity & Inclusion Professional Integrity Self-Awareness
Aware of own impact
Respectful attitude
Professionalism
Gets involved
Client-Centricity & Business Acumen Commerciality Client-Centricity Analytical Thinking & Problem Solving
Product / service knowledge
Responsive, accountable
Detail orientated
Offers options/solutions
Strategy & Innovation
Strategic Thinking & Change
Decision Making & Judgement Agility
Stays up to date
Thinks differently
Demonstrates entrepreneurial thinking
Translates strategies into plans
Stays one step ahead
Open to new ways of thinking
Leadership & Collaboration
Managing Talent Recognising and Motivating Supporting, Developing & Collaborating with others Managing Conflict
Stays up to date
Open to new ways of thinking
Sees when to escalate
Provides logical rationales
Shows initiative to develop
Leverages resources
Communication & Connectivity
Articulation & Receptiveness
Impact Connectivity
Recognises others’ efforts
Offers to assist
Willing team participant
Shows interest
Communication & Influence
Articulation and Receptiveness
Impact Connectivity
Speaks/writes clearly
Aware of non-verbal behaviour
Demonstrates active listening
Conveys a positive image
Shares information
keeps people informed
Builds strong relationships
Execution & Delivery
Driving Performance Execution-Focus Planning & Organising Adaptability
Maintains can-do attitude
Sees tasks to completion
Manages day-to day work
Prioritises/meets deadlines
Asks questions to gain understanding
Responds positively to feedback
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
Equal Opportunity Employer:
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.
