{"id":2600367,"url":"https://alion.io/job/nomura-ib-risk-control-coo","title":"IB - Risk & Control COO","company":{"id":43759,"name":"Nomura","domain":"nomura.com","url":"https://alion.io/company/nomura","size_band":"1001-5000","is_staffing_agency":false,"employer_type":"direct","is_intermediary":false,"listed_via":null,"ats_vendor":"SuccessFactors","truth_index":{"grade":"B","score":80,"open_postings":3,"ghost_share":0,"stale_share":1,"repost_share":0,"time_to_fill_p50_days":21,"computed_at":"2026-10-22T06:10:10Z"}},"role":"Operations","role_family":"Operations","seniority":"middle","employment_type":null,"work_mode":"on_site","remote_scope":null,"remote_scope_basis":null,"remote_working_hours":null,"hiring_geo_confidence":"structured","locations":["Mumbai, India"],"countries":["IN"],"hiring_countries":[],"hiring_countries_total":0,"salary":null,"salary_estimate":{"min_usd":10000,"max_usd":21000,"period":"year","method":"role_seniority_country_remote_cell","sample_n":9},"experience_years_min":4,"visa_sponsorship":false,"relocation_package":false,"has_equity":false,"technologies":[{"name":"DLP","optional":false}],"status":"live","first_seen_at":"2026-09-24T07:00:00Z","employer_posted_date":"2026-09-24","last_verified_at":"2026-10-22T07:31:32Z","board_verified":true,"closed_at":null,"days_open":28,"trust":{"level":"ok","repost_count":null,"flags":[],"days_open":28},"description":"Overview:\nNomura 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\nNomura 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.\nBusiness Unit Overview:\nInvestment Banking Powai team is an extension of the regional Investment Banking (Front Office) teams supporting the following key areas:\nM&A\nEquity Advisory & Private Placements\nSecondary Advisory, Debt Advisory\nCoverage / Sector Banking \nDebt Capital Markets\nAcquisition Leveraged Finance\nDebt Syndicate\nStructured Solutions (Risk Solutions Group, Insurance Solutions Group) \nJapanese Equity Syndicate (Equities & Equity Linked Bonds)\nRole Description\nThis 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:\nSupport IB Supervisors in implementing and operating the IB Supervision Framework. \nImplement and maintain the IB Key Supervisory Controls (KSC). \nPerform banking controls as required, including KYC Salesforce control and Adverse News. \nReview Data Loss Prevention (DLP) alerts from a first-line perspective. \nImplement conduct risk frameworks in line with regional requirements. \nInvestigate conduct events and incidents as required. \nSupport Global / Wholesale reporting and MI as required. \nManage the IB new joiner, transfer, and Supervisor processes, including associated training. \nReview and maintain the IB Conflicts Registers. \nSupport 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. \nMaintain a training and licensing requirements register / tool. \nSupport the review and drafting of IBD Policies and Procedures and the IB Supervision Handbook. \nCoordinate 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. \nCollate information from stakeholders and prepare meeting packs, MI, and minutes for IB governance forums and committees. \nSupport the function in collating information and drafting responses to Audit, Compliance, and external reviews. \nProvide support to non-financial risk programs, including regulatory and business change globally, as required.\nSkills, experience, qualifications and knowledge required\n\nStrong experience in Investment Banking, with a solid understanding of the product spectrum and IB operations. \nProven experience operating a risk and control environment within a large front-office business. \nAbility to engage with, and deliver to, stakeholders across the Investment Banking business. \nAbility to project-manage multiple department-wide projects and initiatives concurrently. \nStrong interpersonal skills, with the ability to operate at all levels of the business and across the Wholesale division. \nAbility to build and maintain a network of relevant stakeholders across Banking and Corporate functions. \nAdaptability to change, with the ability to build relationships and collaborate effectively. \nOrganized, methodical approach to work, with the ability to present complex subjects in an accessible way.\nStrong, independent judgment with the confidence to constructively challenge senior front-office stakeholders while maintaining objectivity and a clear escalation mindset.\nExcellent written skills, with the ability to draft and review policies, procedures, handbooks, investigation findings, and governance MI to a high standard.\nOpenness to leveraging emerging technologies, including AI and automation tools, to enhance the efficiency and effectiveness of supervisory controls, MI, and reporting. \nPosition Specifications:\n\nCorporate Title\n\nAssociate\n\nFunctional Title\n\nAssociate\n\nExperience\n\n4-5 years of relevant IB Supervision (Front Office Supervision) experience\n\nQualification\n\nPreferred\nMBA or\nChartered Accountant (CA) or\nPostgraduate or\nLawyer/ Company Secretary\n\nNomura Core Competencies:\n\nCompetencies Behavioural Indicators\n\nCulture & Conduct\nBuilding Nomura’s Culture\nDiversity & Inclusion Professional\nIntegrity Self-Awareness\n\nContributes to desired culture\nSets positive example\nAware of different values/styles\nHolds high standards of behaviour\nAware of own strengths/weaknesses\n\nClient-Centricity & Business Acumen\nCommerciality Client-Centricity\nAnalytical Thinking & Problem Solving\n\nUnderstands current market\nAnticipates client needs\nPays attention to detail\nSees problems, recommends solutions\n\nStrategy & Innovation\nStrategic Thinking & Change\nDecision Making & Judgment\nAgility\n\nBalances alternative views\nKnows when to decide/when to escalate Champions\nnew ideas\nIs both disciplined and entrepreneurial\nSees when to escalate\n\nLeadership & Collaboration\nManaging Talent\nRecognizing and Motivating Supporting,\nDeveloping\n& Collaborating with others\nManaging Conflict\n\nThinks differently\nBalances alternative views\nKnows when/how to compromise\nLearns from experience\nSeeks to develop\n\nCommunication & Connectivity\nArticulation & Receptiveness Impact Connectivity\n\nAssists in recruiting\nGives credit\nBuilds productive working relationships\nProvides constructive, timely and specific feedback\n\nCommunication & Influence\nArticulation and Receptiveness\nImpact Connectivity\n\nAdjusts style to suit topic\nBalances listening/talking\nCommunicates with clarity and consideration\nIs a proven and credible resource\nQuestions to understand others’ views\nBuilds internal contact network\nWillingly effectively works across teams\n\nExecution & Delivery\nDriving Performance\nExecution-Focus\nPlanning & Organising Adaptability\n\nDemonstrates accountability/commitment\nTakes on challenging assignments\nExecutes priority actions on-time\nKeeps stakeholders updated\nManages expectations\nPersists when confronted with resistance\n\nWe 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.\n\n*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.\n*The benefits are subject to change and will be in accordance with Company’s policies as may be applicable from time to time).","description_format":"text","description_chars":7647,"description_truncated":false,"requirements":{"experience_years_min":4,"management_years_min":null,"team_size_min":null,"manages_managers":false,"education":{"level":"master","optional":true},"security_clearance":false,"languages":[]},"benefits":["Equity"],"hiring_locations":[],"hiring_excludes":[],"relocation_offered":false,"industries":["Investment Banking & M&A Advisory","Online Brokerage & Trading Platforms"],"lifecycle":[{"event":"open","at":"2026-10-15T07:55:48Z"}],"visa":[],"liveness":{"score":36,"band":"fade","label":"Fading","p_open":1,"p_active":0.657,"p_room":0.55,"age_days":27,"expected_fill_days":21,"reasons":["conf:2","velocity","win:tail","comp:brand"],"computed_at":"2026-10-22T06:10:10Z"},"pay":null,"html_url":"https://alion.io/job/nomura-ib-risk-control-coo","json_url":"https://alion.io/job/nomura-ib-risk-control-coo.json","meta":{"generated_at":"2026-10-22T08:37:35Z","cache_seconds":300,"methodology":"https://alion.io/methodology","terms":"https://alion.io/terms","contact":"https://alion.io/contact","api":"https://alion.io/developers","about":"Alion is a live layer of people, companies and AI agents: who they are, whether they are real and active right now, what they do and how to work with them, readable by people and by agents and paid per call.","catalog":"https://alion.io/catalog.json","usage":{"tier":"crawler_verified","counted_by":"address","units_charged":1,"used_today":4899,"day_limit":null,"remaining_today":null,"minute_limit":300,"resets_at":"2026-10-23T00:00:00Z"}},"offers":[{"id":"company.slices","title":"One company in depth, by slice","status":"live","price":{"credits":0.02,"usd":0.002,"plus_per_slice":{"credits":0.05,"usd":0.005}},"unit":"per company, plus each slice with data","note":"the employer in depth","call":{"mcp_tool":"get_company","arguments":{"id":43759},"rest":"https://alion.io/mcp/rest/get_company?id=43759"},"human":"https://alion.io/catalog?offer=company.slices&for=job%2Fnomura-ib-risk-control-coo"},{"id":"market.stats","title":"A market slice: pay, demand and time to fill","status":"live","price":{"credits":1,"usd":0.1},"unit":"per slice","note":"pay, demand and time to fill for this role and place","call":{"mcp_tool":"market_stats"},"human":"https://alion.io/catalog?offer=market.stats&for=job%2Fnomura-ib-risk-control-coo"},{"id":"job.search","title":"Open jobs by role, technology, place, pay and visa","status":"live","price":{"credits":0.02,"usd":0.002},"unit":"per posting in a list","note":"similar open postings","call":{"mcp_tool":"search_jobs"},"human":"https://alion.io/catalog?offer=job.search&for=job%2Fnomura-ib-risk-control-coo"},{"id":"company.verify","title":"Is this company real and active right now","status":"pilot","price":null,"unit":"per company","request":{"url":"https://alion.io/catalog/request","method":"POST","body":"{\"offer\": \"company.verify\", \"for\": \"job/nomura-ib-risk-control-coo\", \"note\": \"what you need it for\"}"},"human":"https://alion.io/catalog?offer=company.verify&for=job%2Fnomura-ib-risk-control-coo"}]}