COM-Business Compliance

Job description

Job Code: 12377 Country: IN City: Mumbai Skill Category: Compliance Description: **Divisional Overview:** Powai Legal and Compliance broadly covers the areas of Legal, Compliance and is responsible for building a robust risk and control framework. The Powai Legal and Compliance teams support Nomura Powai entities, as well as Legal and Compliance teams globally to ensure effective risk management of Legal, Compliance for the firm. **Powai Legal** comprises of the Corporate Legal and Transaction Legal functions, which provide advice and support on corporate, employment and transactional matters. The Offshore Legal team supports global teams on corporate and secretarial matters, Global Markets, and Masters documentation related requirements. **Powai Compliance** comprises of functions such as Core Compliance, Trade Surveillance, Electronic Communication Surveillance, Financial Crime Monitoring, Control Room & Disclosure Monitoring and Employee Compliance. The teams provide advisory and operations support to global / regional Compliance teams driven by global / regional policies and regulatory expectations. **Business Unit Overview:** The independent CAO function actively supports and advances Powai Legal and Compliance's vision through several key initiatives. It designs and drive strategic initiatives that align with and propel Powai Legal and Compliance's goals. The team manages financial operations with precision and foresight, ensuring optimal resource allocation and fiscal health. The team Implements and maintains a robust administrative framework for both Powai and Offshore CAO activities, with a strong focus on enhancing control and governance measures. The team leads the globalization project by spearheading the transformation journey thereby fostering a culture of innovation and continuous improvement within the team, encouraging proactive problem-solving and creative solutions. **Position Specifications** **Corporate Title** VP **Experience** 15- 17 years **Qualification** Graduate/Post graduate **Requisition No.** 12377 / 12378 **Role & Responsibilities:** - Design, implement, and continuously evolve enterprise-wide PMO frameworks, methodologies, and governance structures aligned with organizational strategy. - Lead strategic portfolio management initiatives, including portfolio optimization, resource allocation, and investment prioritization - Ability to operate at both strategic and tactical levels, moving seamlessly between high-level project oversight and detailed technical implementation to ensure successful project delivery - Establish and maintain PMO Centers of Excellence, driving standardization and best practices across the organization - Partner with regional stakeholders to align project portfolios/KPIs with business objectives and strategic initiatives - Drive advanced RAID (Risk, Assumptions, Issues, Dependencies) management across all portfolio areas, implementing predictive risk analytics - Lead cross-functional program delivery involving multiple business units, geographies, and external partners - Serve as primary liaison between project teams and executive leadership, board members, and key external stakeholders - Develop and deliver executive-level reporting, including strategic dashboards, portfolio health assessments, and ROI analysis - Lead working group sessions and executive reviews, facilitating strategic decision-making - Manage complex stakeholder ecosystems across multiple regions and business functions - Drive large-scale process standardization and digital transformation initiatives - Lead cost optimization programs with measurable impact on organizational efficiency - Implement advanced PMO automation solutions and emerging technologies - Establish PMO performance metrics and KPIs, driving data-driven decision making **Mind Set:** **Mandatory** **Desired** **Domain / Technical** - 12-15 years of relevant experience in the financial industry. - Possess excellent communication and organisation skills and be able to manage multiple projects. - Extensive experience in operating model redesign and technology implementations - Ability to manage multiple stakeholder communities with varying levels of experience - Ability to conduct key stakeholder and sponsor interactions with sensitivity and maturity - Ability to take feedback, and build strong partnerships with stakeholders (business owners and functional SMEs) of the programme - Ability to effectively escalate and resolve cross-regional stakeholder conflicts - Ability to develop impactful written presentations and participate effectively in meetings - Ability to work under limited supervision (‘self-starter’) in unstructured environments - Ability to work flexibly to accommodate global working patterns - Intellectual strength / flexibility to rapidly understand complex problems and rationalise these into a workable solution which can then be delivered - High level of drive, commitment to achieving solutions and ability to work under pressure - Familiarity with documentation tools (e.g. Confluence, Visio, Powerpoint etc.) - Desired: Certifications in business analysis and/or project management are advantageous. - Be a self-starter and display a proactive approach. - Flexibility (willingness to Change) – ability to adapt effectively to changing plans and priorities, and to be open and flexible when faced with changing circumstances. - Relevant Legal and Compliance /Operational Risk professional qualifications are an added advantage but not essential. - Possess financial services knowledge and experience, ideally in capital markets / investment banking context. **Interpersonal** - Have excellent communication and IT skills (Word, Excel, PowerPoint). - Have strong attention to detail and produce accurate reports - Collaborates within and across teams, involving the right people - Critical thinking, Risk Management, Conflict Management