COM-Central Compliance

Job description

Job Code: 13592 Country: IN City: Mumbai Skill Category: Compliance Description: **Divisional Overview:** Powai L & C broadly covers the areas of Legal and Compliance and is responsible for building a robust risk and control framework. The Powai L & C teams support Nomura Powai entities, as well as L & C teams globally to ensure effective risk management of Legal and Compliance related risks 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 Overview:** The Trade Surveillance team is part of the firm’s Compliance function and is responsible for monitoring trading activities across asset classes to identify potential market abuse, insider trading, and other misconduct. The team leverages surveillance tools, data analytics, and regulatory expertise to ensure compliance with global regulations while mitigating financial, regulatory, and reputational risks. **What We Offer:** - We support employee wellbeing by ensuring a sense of purpose and belonging. - We offer a comprehensive range of wellbeing services which allows employees to get access to the assistance they need at any point in their wellbeing journey. - Our bespoke benefits support employees and their family’s holistic wellbeing and are inclusive of diverse identities and family structures. **Position Specifications:** Corporate Title Analyst Functional Title Analyst/Sr. analyst Experience 4 to 7 Years Qualification Graduate/Post Graduate Requisition No. xxxxx **Role & Responsibilities:** **Surveillance Operations** - Review, analyse, and resolve trade surveillance alerts across multiple asset classes (equities, fixed income, FX, derivatives and Swaps). - Conduct detailed investigations into potential misconducts like insider trading, market manipulation, front running, or policy breaches. - Document findings, escalate issues, and ensure proper closure of cases in line with internal protocols. **Risk & Compliance** - Apply knowledge of global regulatory frameworks (MAR, MiFID II, SEC, SEBI, FCA) to assess potential misconduct. - Escalate high-risk matters to respective regional surveillance and compliance team in a timely and accurate manner. - Contribute to thematic reviews and ad-hoc investigations as required. **Data & Analytics** - Leverage surveillance tools, Bloomberg, Nomura orders and trades management applications trade data, and market information to identify unusual patterns or behaviours. - Support enhancement of monitoring scenarios by providing feedback on alert quality and trends and performing regular parameter testing. - Assist in testing and validating new models, parameters and system changes. **Collaboration & Reporting** - Work closely with regional stakeholders to provide insights from surveillance investigations. - Prepare clear, concise, and well-structured investigation reports. - Contribute to management information (MI) and trend reporting for governance purposes. **Continuous Improvement** - Identify process gaps, inefficiencies, and recommend improvements to strengthen surveillance coverage. - Stay abreast of market developments, new products, and regulatory changes impacting surveillance requirements. - Participate in automation, AI, and process optimization initiatives to improve alert handling and effectiveness **Mind Set:** **Mandatory** **Desired** **Domain** Financial Markets and Products: Understanding of various asset classes, market structures, trading mechanisms, and financial instruments. Data Analysis: Familiarity with statistical concepts, surveillance systems Regulatory Framework and Market Abuse: Knowledge of market abuse regulations, typologies Risk Management and Compliance: Understanding of various risk types, compliance frameworks, and ethical standards in the financial industry. Trading Strategies and Behaviours: Comprehension of common trading strategies, algorithmic trading, and potential abusive practices. Experience of dealing with various regional stakeholders **Technical** Good MS office skills Knowledge of Excel macro and VBA Presentation, MIS reports development skills Knowledge of AI **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