IB - Risk & Control COO

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.

Business Unit Overview:

Investment Banking Powai team is an extension of the regional Investment Banking (Front Office) teams supporting the following key areas:

• M&A
• Equity Advisory & Private Placements
• Secondary Advisory, Debt Advisory
• Coverage / Sector Banking
• Debt Capital Markets
• Acquisition Leveraged Finance
• Debt Syndicate
• Structured Solutions (Risk Solutions Group, Insurance Solutions Group)
• Japanese Equity Syndicate (Equities & Equity Linked Bonds)

Role Description

This role is within the International IB Risk and Control Team. The role will be responsible for supporting the Head of IBCO, International in developing and operating the risk and control environment in Investment Banking across EMEA & AEJ regions. In particular:

• Support IB Supervisors in implementing and operating the IB Supervision Framework.
• Implement and maintain the IB Key Supervisory Controls (KSC).
• Perform banking controls as required, including KYC Salesforce control and Adverse News.
• Review Data Loss Prevention (DLP) alerts from a first-line perspective.
• Implement conduct risk frameworks in line with regional requirements.
• Investigate conduct events and incidents as required.
• Support Global / Wholesale reporting and MI as required.
• Manage the IB new joiner, transfer, and Supervisor processes, including associated training.
• Review and maintain the IB Conflicts Registers.
• Support the cross-border frameworks - ranging from travel to Hong Kong (temporary licensing), Singapore travel and the FRC framework, UK cross-border interactions, and US 15a-6 requirements.
• Maintain a training and licensing requirements register / tool.
• Support the review and drafting of IBD Policies and Procedures and the IB Supervision Handbook.
• Coordinate with IT / Development teams to enhance and automate the supervision framework - including, but not limited to, personal and compliance conflict-of-interest reporting, registrations, and supervision reports.
• Collate information from stakeholders and prepare meeting packs, MI, and minutes for IB governance forums and committees.
• Support the function in collating information and drafting responses to Audit, Compliance, and external reviews.
• Provide support to non-financial risk programs, including regulatory and business change globally, as required.

Skills, experience, qualifications and knowledge required

• Strong experience in Investment Banking, with a solid understanding of the product spectrum and IB operations.
• Proven experience operating a risk and control environment within a large front-office business.
• Ability to engage with, and deliver to, stakeholders across the Investment Banking business.
• Ability to project-manage multiple department-wide projects and initiatives concurrently.
• Strong interpersonal skills, with the ability to operate at all levels of the business and across the Wholesale division.
• Ability to build and maintain a network of relevant stakeholders across Banking and Corporate functions.
• Adaptability to change, with the ability to build relationships and collaborate effectively.
• Organized, methodical approach to work, with the ability to present complex subjects in an accessible way.
• Strong, independent judgment with the confidence to constructively challenge senior front-office stakeholders while maintaining objectivity and a clear escalation mindset.
• Excellent written skills, with the ability to draft and review policies, procedures, handbooks, investigation findings, and governance MI to a high standard.
• Openness to leveraging emerging technologies, including AI and automation tools, to enhance the efficiency and effectiveness of supervisory controls, MI, and reporting.

Position Specifications:

Corporate Title

Associate

Functional Title

Associate

Experience

4-5 years of relevant IB Supervision (Front Office Supervision) experience

Qualification

Preferred

• MBA or
• Chartered Accountant (CA) or
• Postgraduate or
• Lawyer/ Company Secretary

Nomura Core Competencies:

Competencies Behavioural Indicators

Culture & Conduct

Building Nomura’s Culture

Diversity & Inclusion Professional

Integrity Self-Awareness

Contributes to desired culture

Sets positive example

Aware of different values/styles

Holds high standards of behaviour

Aware of own strengths/weaknesses

Client-Centricity & Business Acumen

Commerciality Client-Centricity

Analytical Thinking & Problem Solving

Understands current market

Anticipates client needs

Pays attention to detail

Sees problems, recommends solutions

Strategy & Innovation

Strategic Thinking & Change

Decision Making & Judgment

Agility

Balances alternative views

Knows when to decide/when to escalate Champions

new ideas

Is both disciplined and entrepreneurial

Sees when to escalate

Leadership & Collaboration

Managing Talent

Recognizing and Motivating Supporting,

Developing

& Collaborating with others

Managing Conflict

Thinks differently

Balances alternative views

Knows when/how to compromise

Learns from experience

Seeks to develop

Communication & Connectivity

Articulation & Receptiveness Impact Connectivity

Assists in recruiting

Gives credit

Builds productive working relationships

Provides constructive, timely and specific feedback

Communication & Influence

Articulation and Receptiveness

Impact Connectivity

Adjusts style to suit topic

Balances listening/talking

Communicates with clarity and consideration

Is a proven and credible resource

Questions to understand others’ views

Builds internal contact network

Willingly effectively works across teams

Execution & Delivery

Driving Performance

Execution-Focus

Planning & Organising Adaptability

Demonstrates accountability/commitment

Takes on challenging assignments

Executes priority actions on-time

Keeps stakeholders updated

Manages expectations

Persists when confronted with resistance

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).