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: <ul style="list-style-type:square;margin-bottom:0.0in;margin-top:0.0px"> <li style="text-align:justify;margin:0.0in 0.0in 0.0in 0.0px;font-size:11.0pt;font-family:Calibri, sans-serif">We support employee wellbeing by ensuring a sense of purpose and belonging. </li> <li style="text-align:justify;margin:0.0in 0.0in 0.0in 0.0px;font-size:11.0pt;font-family:Calibri, sans-serif">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. </li> <li style="text-align:justify;margin:0.0in 0.0in 0.0in 0.0px;font-size:11.0pt;font-family:Calibri, sans-serif">Our bespoke benefits support employees and their family’s holistic wellbeing and are inclusive of diverse identities and family structures.</li> </ul> Position Specifications: <table class="MsoTableGrid" style="border-collapse:collapse;border:none" border="1" cellspacing="0" cellpadding="0"> <tbody> <tr> <td style="width:127.35pt;border:solid windowtext 1.0pt;background-color:#d9d9d9;padding:0.0in 5.4pt 0.0in 5.4pt" valign="top"> Corporate Title </td> <td style="width:323.45pt;border:solid windowtext 1.0pt;border-left:none;background-color:#d9d9d9;padding:0.0in 5.4pt 0.0in 5.4pt" valign="top"> Analyst </td> </tr> <tr> <td style="width:127.35pt;border:solid windowtext 1.0pt;border-top:none;background-color:#d9d9d9;padding:0.0in 5.4pt 0.0in 5.4pt" valign="top"> Functional Title </td> <td style="width:323.45pt;border-top:none;border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;background-color:#d9d9d9;padding:0.0in 5.4pt 0.0in 5.4pt" valign="top"> Analyst/Sr. analyst </td> </tr> <tr> <td style="width:127.35pt;border:solid windowtext 1.0pt;border-top:none;background-color:#d9d9d9;padding:0.0in 5.4pt 0.0in 5.4pt" valign="top"> Experience </td> <td style="width:323.45pt;border-top:none;border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;background-color:#d9d9d9;padding:0.0in 5.4pt 0.0in 5.4pt" valign="top"> 4 to 7 Years </td> </tr> <tr style="height:9.85pt"> <td style="width:127.35pt;border:solid windowtext 1.0pt;border-top:none;background-color:#d9d9d9;padding:0.0in 5.4pt 0.0in 5.4pt" valign="top"> Qualification </td> <td style="width:323.45pt;border-top:none;border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;background-color:#d9d9d9;padding:0.0in 5.4pt 0.0in 5.4pt" valign="top"> Graduate/Post Graduate </td> </tr> <tr style="height:6.25pt"> <td style="width:127.35pt;border:solid windowtext 1.0pt;border-top:none;background-color:#d9d9d9;padding:0.0in 5.4pt 0.0in 5.4pt" valign="top"> Requisition No. </td> <td style="width:323.45pt;border-top:none;border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;background-color:#d9d9d9;padding:0.0in 5.4pt 0.0in 5.4pt" valign="top"> xxxxx </td> </tr> </tbody> </table> Role & Responsibilities: <table cellspacing="0" cellpadding="0" align="left"> <tbody> <tr> <td> </td> </tr> <tr> <td> </td> <td style="border:0.75pt solid black;vertical-align:top;background-color:white" bgcolor="white"> <table style="width:100%" cellspacing="0" cellpadding="0"> <tbody> <tr> <td> <div class="shape" style="padding:4.35pt 7.95pt 4.35pt 7.95pt"> Surveillance Operations <ul style="margin-top:0.0in;margin-bottom:0.3pt"> <li style="margin:0.0in -2.3pt 0.3pt 0.0px;text-align:justify;line-height:113%;font-size:12.0pt;font-family:'Times New Roman', serif">Review, analyse, and resolve trade surveillance alerts across multiple asset classes (equities, fixed income, FX, derivatives and Swaps).</li> <li style="margin:0.0in -2.3pt 0.3pt 0.0px;text-align:justify;line-height:113%;font-size:12.0pt;font-family:'Times New Roman', serif">Conduct detailed investigations into potential misconducts like insider trading, market manipulation, front running, or policy breaches.</li> <li style="margin:0.0in -2.3pt 0.3pt 0.0px;text-align:justify;line-height:113%;font-size:12.0pt;font-family:'Times New Roman', serif">Document findings, escalate issues, and ensure proper closure of cases in line with internal protocols.</li> </ul> Risk & Compliance <ul style="margin-top:0.0in;margin-bottom:0.3pt"> <li style="margin:0.0in -2.3pt 0.3pt 0.0px;text-align:justify;line-height:113%;font-size:12.0pt;font-family:'Times New Roman', serif">Apply knowledge of global regulatory frameworks (MAR, MiFID II, SEC, SEBI, FCA) to assess potential misconduct.</li> <li style="margin:0.0in -2.3pt 0.3pt 0.0px;text-align:justify;line-height:113%;font-size:12.0pt;font-family:'Times New Roman', serif">Escalate high-risk matters to respective regional surveillance and compliance team in a timely and accurate manner.</li> <li style="margin:0.0in -2.3pt 0.3pt 0.0px;text-align:justify;line-height:113%;font-size:12.0pt;font-family:'Times New Roman', serif">Contribute to thematic reviews and ad-hoc investigations as required.</li> </ul> Data & Analytics <ul style="margin-top:0.0in;margin-bottom:0.3pt"> <li style="margin:0.0in -2.3pt 0.3pt 0.0px;text-align:justify;line-height:113%;font-size:12.0pt;font-family:'Times New Roman', serif">Leverage surveillance tools, Bloomberg, Nomura orders and trades management applications trade data, and market information to identify unusual patterns or behaviours.</li> <li style="margin:0.0in -2.3pt 0.3pt 0.0px;text-align:justify;line-height:113%;font-size:12.0pt;font-family:'Times New Roman', serif">Support enhancement of monitoring scenarios by providing feedback on alert quality and trends and performing regular parameter testing.</li> <li style="margin:0.0in -2.3pt 0.3pt 0.0px;text-align:justify;line-height:113%;font-size:12.0pt;font-family:'Times New Roman', serif">Assist in testing and validating new models, parameters and system changes.</li> </ul> Collaboration & Reporting <ul style="margin-top:0.0in;margin-bottom:0.3pt"> <li style="margin:0.0in -2.3pt 0.3pt 0.0px;text-align:justify;line-height:113%;font-size:12.0pt;font-family:'Times New Roman', serif">Work closely with regional stakeholders to provide insights from surveillance investigations.</li> <li style="margin:0.0in -2.3pt 0.3pt 0.0px;text-align:justify;line-height:113%;font-size:12.0pt;font-family:'Times New Roman', serif">Prepare clear, concise, and well-structured investigation reports.</li> <li style="margin:0.0in -2.3pt 0.3pt 0.0px;text-align:justify;line-height:113%;font-size:12.0pt;font-family:'Times New Roman', serif">Contribute to management information (MI) and trend reporting for governance purposes.</li> </ul> Continuous Improvement <ul style="margin-top:0.0in;margin-bottom:0.3pt"> <li style="margin:0.0in -2.3pt 0.3pt 0.0px;text-align:justify;line-height:113%;font-size:12.0pt;font-family:'Times New Roman', serif">Identify process gaps, inefficiencies, and recommend improvements to strengthen surveillance coverage.</li> <li style="margin:0.0in -2.3pt 0.3pt 0.0px;text-align:justify;line-height:113%;font-size:12.0pt;font-family:'Times New Roman', serif">Stay abreast of market developments, new products, and regulatory changes impacting surveillance requirements.</li> <li style="margin:0.0in -2.3pt 0.3pt 0.0px;text-align:justify;line-height:113%;font-size:12.0pt;font-family:'Times New Roman', serif">Participate in automation, AI, and process optimization initiatives to improve alert handling and effectiveness</li> </ul> </div> </td> </tr> </tbody> </table> </td> </tr> </tbody> </table> Mind Set: <table class="MsoTableGrid" style="width:443.5pt;margin-left:5.4pt;border-collapse:collapse;border:none" border="1" cellspacing="0" cellpadding="0"> <tbody> <tr style="height:12.35pt"> <td style="width:58.15pt;border:solid windowtext 1.0pt;background-color:#002060;padding:0.0in 5.4pt 0.0in 5.4pt" valign="top"> </td> <td style="width:211.25pt;border:solid windowtext 1.0pt;border-left:none;background-color:#002060;padding:0.0in 5.4pt 0.0in 5.4pt" valign="top"> Mandatory </td> <td style="width:174.1pt;border:solid windowtext 1.0pt;border-left:none;background-color:#002060;padding:0.0in 5.4pt 0.0in 5.4pt" valign="top"> Desired </td> </tr> <tr style="height:24.3pt"> <td style="width:58.15pt;border:solid windowtext 1.0pt;border-top:none;background-color:#d9d9d9;padding:0.0in 5.4pt 0.0in 5.4pt" rowspan="3"> Domain </td> <td style="width:211.25pt;border-top:none;border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;padding:0.0in 5.4pt 0.0in 5.4pt" valign="top"> Financial Markets and Products: Understanding of various asset classes, market structures, trading mechanisms, and financial instruments. </td> <td style="width:174.1pt;border-top:none;border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;padding:0.0in 5.4pt 0.0in 5.4pt" valign="top"> Data Analysis: Familiarity with statistical concepts, surveillance systems </td> </tr> <tr style="height:37.1pt"> <td style="width:211.25pt;border-top:none;border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;padding:0.0in 5.4pt 0.0in 5.4pt" valign="top"> Regulatory Framework and Market Abuse: Knowledge of market abuse regulations, typologies </td> <td style="width:174.1pt;border-top:none;border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;padding:0.0in 5.4pt 0.0in 5.4pt" valign="top"> Risk Management and Compliance: Understanding of various risk types, compliance frameworks, and ethical standards in the financial industry. </td> </tr> <tr style="height:37.1pt"> <td style="width:211.25pt;border-top:none;border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;padding:0.0in 5.4pt 0.0in 5.4pt" valign="top"> Trading Strategies and Behaviours: Comprehension of common trading strategies, algorithmic trading, and potential abusive practices. </td> <td style="width:174.1pt;border-top:none;border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;padding:0.0in 5.4pt 0.0in 5.4pt" valign="top"> Experience of dealing with various regional stakeholders </td> </tr> <tr style="height:12.35pt"> <td style="width:58.15pt;border:solid windowtext 1.0pt;border-top:none;background-color:#d9d9d9;padding:0.0in 5.4pt 0.0in 5.4pt" rowspan="2"> Technical </td> <td style="width:211.25pt;border-top:none;border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;padding:0.0in 5.4pt 0.0in 5.4pt" valign="top"> Good MS office skills </td> <td style="width:174.1pt;border-top:none;border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;padding:0.0in 5.4pt 0.0in 5.4pt" valign="top"> Knowledge of Excel macro and VBA </td> </tr> <tr style="height:25.15pt"> <td style="width:211.25pt;border-top:none;border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;padding:0.0in 5.4pt 0.0in 5.4pt" valign="top"> Presentation, MIS reports development skills </td> <td style="width:174.1pt;border-top:none;border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;padding:0.0in 5.4pt 0.0in 5.4pt" valign="top"> Knowledge of AI </td> </tr> </tbody> </table> <a name="_Hlk196140314"></a>Nomura Leadership Behaviours: <table class="MsoNormalTable" style="width:449.25pt;border-collapse:collapse" border="0" cellspacing="0" cellpadding="0"> <tbody> <tr style="height:26.55pt"> <td style="width:94.45pt;border:solid windowtext 1.0pt;background-color:#0b3040;padding:0.0in 5.4pt 0.0in 5.4pt" valign="bottom"> Leadership Behaviours </td> <td style="width:182.15pt;border:solid windowtext 1.0pt;border-left:none;background-color:#0b3040;padding:0.0in 5.4pt 0.0in 5.4pt" valign="bottom" nowrap="nowrap"> Description </td> <td style="width:172.65pt;border:solid windowtext 1.0pt;border-left:none;background-color:#0b3040;padding:0.0in 5.4pt 0.0in 5.4pt" valign="bottom" nowrap="nowrap"> Element </td> </tr> <tr style="height:64.35pt"> <td style="width:94.45pt;border:solid windowtext 1.0pt;border-top:none;padding:0.0in 5.4pt 0.0in 5.4pt" nowrap="nowrap"> Exploring Insights & Vision </td> <td style="width:182.15pt;border-top:none;border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;padding:0.0in 5.4pt 0.0in 5.4pt"> Comprehensively analyse the nature of the problems we face and set our focus toward the future vision </td> <td style="width:172.65pt;border-top:none;border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;padding:0.0in 5.4pt 0.0in 5.4pt"> <ul style="margin-bottom:0.0in;margin-top:0.0px"> <li style="margin:0.0in 0.0in 0.0in 0.0px;font-size:12.0pt;font-family:'Times New Roman', serif">Gather Intelligence</li> <li style="margin:0.0in 0.0in 0.0in 0.0px;font-size:12.0pt;font-family:'Times New Roman', serif">Create a vision</li> <li style="margin:0.0in 0.0in 0.0in 0.0px;font-size:12.0pt;font-family:'Times New Roman', serif">Identify an issue</li> </ul> </td> </tr> <tr style="height:53.6pt"> <td style="width:94.45pt;border:solid windowtext 1.0pt;border-top:none;padding:0.0in 5.4pt 0.0in 5.4pt" nowrap="nowrap"> Making Strategic Decisions </td> <td style="width:182.15pt;border-top:none;border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;padding:0.0in 5.4pt 0.0in 5.4pt"> Analyse options and feasibility to resolve issues, in making judgments and recommendations </td> <td style="width:172.65pt;border-top:none;border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;padding:0.0in 5.4pt 0.0in 5.4pt"> <ul style="margin-bottom:0.0in;margin-top:0.0px"> <li style="margin:0.0in 0.0in 0.0in 0.0px;font-size:12.0pt;font-family:'Times New Roman', serif">Identify countermeasures</li> <li style="margin:0.0in 0.0in 0.0in 0.0px;font-size:12.0pt;font-family:'Times New Roman', serif">Assess feasibility</li> <li style="margin:0.0in 0.0in 0.0in 0.0px;font-size:12.0pt;font-family:'Times New Roman', serif">Make a judgment</li> </ul> </td> </tr> <tr style="height:64.35pt"> <td style="width:94.45pt;border:solid windowtext 1.0pt;border-top:none;padding:0.0in 5.4pt 0.0in 5.4pt" nowrap="nowrap"> Inspiring Entrepreneurship in People </td> <td style="width:182.15pt;border-top:none;border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;padding:0.0in 5.4pt 0.0in 5.4pt"> Promotes the vision and goals to others in such a way that inspires commitment and independent contributions </td> <td style="width:172.65pt;border-top:none;border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;padding:0.0in 5.4pt 0.0in 5.4pt"> <ul style="margin-bottom:0.0in;margin-top:0.0px"> <li style="margin:0.0in 0.0in 0.0in 0.0px;font-size:12.0pt;font-family:'Times New Roman', serif">Influence</li> <li style="margin:0.0in 0.0in 0.0in 0.0px;font-size:12.0pt;font-family:'Times New Roman', serif">Inspire</li> <li style="margin:0.0in 0.0in 0.0in 0.0px;font-size:12.0pt;font-family:'Times New Roman', serif">Commit</li> </ul> </td> </tr> <tr style="height:64.35pt"> <td style="width:94.45pt;border:solid windowtext 1.0pt;border-top:none;padding:0.0in 5.4pt 0.0in 5.4pt" nowrap="nowrap"> Elevating Organizational Capacity </td> <td style="width:182.15pt;border-top:none;border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;padding:0.0in 5.4pt 0.0in 5.4pt"> Maximize organizational productivity through leadership development and engagement </td> <td style="width:172.65pt;border-top:none;border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;padding:0.0in 5.4pt 0.0in 5.4pt"> <ul style="margin-bottom:0.0in;margin-top:0.0px"> <li style="margin:0.0in 0.0in 0.0in 0.0px;font-size:12.0pt;font-family:'Times New Roman', serif">Have an ownership in own development</li> <li style="margin:0.0in 0.0in 0.0in 0.0px;font-size:12.0pt;font-family:'Times New Roman', serif">Support other‘s growth</li> <li style="margin:0.0in 0.0in 0.0in 0.0px;font-size:12.0pt;font-family:'Times New Roman', serif">Encourage organizational growth</li> </ul> </td> </tr> <tr style="height:75.05pt"> <td style="width:94.45pt;border:solid windowtext 1.0pt;border-top:none;padding:0.0in 5.4pt 0.0in 5.4pt" nowrap="nowrap"> Inclusion </td> <td style="width:182.15pt;border-top:none;border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;padding:0.0in 5.4pt 0.0in 5.4pt"> Respect diverse perspectives and promote psychological safety and the creation of a risk culture </td> <td style="width:172.65pt;border-top:none;border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;padding:0.0in 5.4pt 0.0in 5.4pt"> <ul style="margin-bottom:0.0in;margin-top:0.0px"> <li style="margin:0.0in 0.0in 0.0in 0.0px;font-size:12.0pt;font-family:'Times New Roman', serif">Foster psychological safety</li> <li style="margin:0.0in 0.0in 0.0in 0.0px;font-size:12.0pt;font-family:'Times New Roman', serif">Encourage the active participation of all talent</li> <li style="margin:0.0in 0.0in 0.0in 0.0px;font-size:12.0pt;font-family:'Times New Roman', serif">Foster a risk culture</li> </ul> </td> </tr> </tbody> </table> 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).

Associate (Mumbai, IN) @ Nomura Holdings, inc.

About this role

Ready to apply?