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    Compliance Analyst PDF

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    riteshkarunakar
    The compliance analyst role supports Nomura's global compliance operations from its office in Powai, India. Nomura is a major Asian financial services firm operating in over 30 countries. The compliance team monitors activities, ensures adherence to regulations, and cultivates a strong compliance culture. Key responsibilities of the compliance analyst include assisting with personal account dealing monitoring, training administration, surveillance reviews, reporting, and coordinating regional requirements. The ideal candidate has experience in financial services compliance with strong attention to detail.

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    Compliance Analyst PDF

    Uploaded by

    riteshkarunakar
    144 views2 pages
    The compliance analyst role supports Nomura's global compliance operations from its office in Powai, India. Nomura is a major Asian financial services firm operating in over 30 countries. The compliance team monitors activities, ensures adherence to regulations, and cultivates a strong compliance culture. Key responsibilities of the compliance analyst include assisting with personal account dealing monitoring, training administration, surveillance reviews, reporting, and coordinating regional requirements. The ideal candidate has experience in financial services compliance with strong attention to detail.

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    Compliance Analyst.pdf

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    The compliance analyst role supports Nomura's global compliance operations from its office in Powai, India. Nomura is a major Asian financial services firm operating in over 30 countries. The compliance team monitors activities, ensures adherence to regulations, and cultivates a strong compliance culture. Key responsibilities of the compliance analyst include assisting with personal account dealing monitoring, training administration, surveillance reviews, reporting, and coordinating regional requirements. The ideal candidate has experience in financial services compliance with strong attention to detail.

    Copyright:

    © All Rights Reserved
    Download as PDF, TXT or read online from Scribd
    Download as pdf or txt
    144 views2 pages

    Compliance Analyst PDF

    Uploaded by

    riteshkarunakar
    The compliance analyst role supports Nomura's global compliance operations from its office in Powai, India. Nomura is a major Asian financial services firm operating in over 30 countries. The compliance team monitors activities, ensures adherence to regulations, and cultivates a strong compliance culture. Key responsibilities of the compliance analyst include assisting with personal account dealing monitoring, training administration, surveillance reviews, reporting, and coordinating regional requirements. The ideal candidate has experience in financial services compliance with strong attention to detail.

    Copyright:

    © All Rights Reserved
    Download as PDF, TXT or read online from Scribd
    Download as pdf or txt
    of 2

    Job Description: Compliance Analyst

    Nomura Overview:

    Nomura is an Asia-headquartered financial services group with an integrated global network spanning
    over 30 countries. By connecting markets East & West, Nomura services the needs of individuals,
    institutions, corporates and governments through its four business divisions: Retail, Asset
    Management, Wholesale (Global Markets and Investment Banking), and Merchant 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.

    Divisional Overview:

    The Compliance team consists of a dedicated workforce whose primary purpose is to ensure relevant
    compliance monitoring and surveillance is in place, thereby ensuring oversight and governance and
    also making sure that all the actions carried out at the firm conform with the rules and regulations
    prescribed by the relevant regulators in regions. The team supports various compliance surveillance
    and monitoring activities for regions.

    Existing compliance management framework includes, but is not limited to, the following;

    1. Compliance oversight to policies and procedures to govern compliance risks


    2. Cultivate a strong compliance culture by creating awareness at all levels using structured
    training programs
    3. Timely and accurate reporting of risks to Senior Management and stakeholders including
    KPI/KRI reporting
    4. Conduct compliance risk assessments
    5. Validate and update RCSA for comprehensiveness and adequacy
    6. Define appropriate KRIs with thresholds and monitor breaches for identifies risks
    7. Promote sharing of Best Practices across Compliance
    8. Coordinate with other Control functions to strengthen overall internal control

    Guidelines:

     Relevant experience of 3 yrs


     Minimum career break of 2yrs
     No of Positions : 1
    Role & Responsibilities:

     Assisting in monitoring personal account dealing activities like new joiner affirmations,
    account disclosures, reconciliation and responding to Employee queries as per staff dealing
    policy
     Administration of Computer based and Face to Face trainings along with affirmations
     Perform level one review of surveillance functions
     MIS reporting to regional teams
     Tracking and coordination of regional compliance requirements
     Coordination with regional compliance teams for reporting and record keeping
     Assist regional process owners in ad-hoc requests

    Mind set required:

    Mandatory Desired
    Experience in the Securities or Financial Collaborates within and across teams,
    services industry involving the right people
    Basic understanding of Investment
    Detail-minded; be able to ensure data
    Domain Banking business and the Financial
    completeness and accuracy
    Regulatory environment.
    Good interpersonal skills; high ethical
    Acts proactively to increase efficiency
    standards
    Good MS office skills
    Technical Presentation, MIS reports development
    skills,

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