Job Title:Control Office

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Job Title:Control Office

mid · Risk & Compliance

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:

Nomura International Wealth Management (IWM) have more than 50 years of experience delivering

value to our high-net-worth clients in Asia. Our commitment to deliver bespoke solutions is paired

with judicious planning, coupled with Asia insight to meet clients’ wealth planning and investment goal

objectives.

Nomura IWM have access to both global and regional investment opportunities across multiple asset

classes - fixed income and equity securities, including currencies, interest rates and credit in cash,

derivatives and structured products. IWM will take advantage of Nomura’s research-based advice,

strong execution capabilities and bespoke solutions that leverage our global expertise in Global

Markets, Investment Banking, Asset Management and other affiliates.

IWM rolls up to Nomura’s Wholesale division along with Global Markets (GM) and Investment Banking

(IBD).

Business Overview:

This role is within the IWM Control Office (IWM CO) team. The IWM CO team is responsible for providing control assurance across activities like investment suitability, cross-border, portfolio review as well in maintaining the Front Office Supervision framework for the division and being the key operational risk and control function for the IWM business.

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:

Role & Responsibilities:

• • We are seeking a dynamic individual to join the IWM Control Office (IWM CO) team, based in Powai.

   

  • The individual will work closely and in partnership with the IWM CO team in AeJ.

   

  • Performing controls testing and continuous monitoring of activities of IWM staff to ensure adherence to internal policies and regulatory requirements.

   

  • The individual will assume day-to-day BAU responsibilities relating to Investment Suitability, Cross Border, Staff Licensing, Asset Transfer Review, Portfolio Call Report Review, etc. and will contribute to key projects that are critical from a regulatory perspective.

   

  • Ownership of the Hierarchy Maintenance process across IWM. Performing review and analysis of Attestation commentaries and affirmation processes.

   

  • Creating Management Packs, KRI Packs, Supervisory meeting packs and Scorecard.

   

  • Driving Transition of Key tasks from the Regions and then perform those tasks in a BAU environment.

   

  • Involved in User Acceptance Testing of IWM tools and systems.

   

  • Audit and RCSA related monitoring.

   

  • Help in producing issue summaries and reports for Regional teams.

   

  • Assist the team in information requests from regulators and auditors as and when required.

Mind Set:

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).