Nomura Overview: Nomura is a financial services group with an integrated global network. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its four business divisions: Wealth Management, Investment Management, Wholesale (Global Markets and Investment Banking), and 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 <a href="http://www.nomura.com">www.nomura.com</a>. 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 across four international regions. 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: Global Markets Division: Based in Mumbai, the front-office team which works on a team extension model delivers pricing, modelling and risk management expertise to the Global Markets business. Founded as a centre of excellence, the group leads the way in price discovery and portfolio optimization techniques and is integral to the business’ aggressive revenue targets. The team is playing an integral role in structuring, pricing, risk management and new idea generation. Business Overview: The GM Electronic Trading (eTrading) Risk & Controls is a first line of defence function. The team is part of the Global Markets Front Office Risk & Controls function and works closely with each eTrading businesses, across all asset classes (Rates, Credit, FX, Equities & FnO), and technology across Global Markets as well as Second Line functions (Risk Management, Compliance, etc.). The team covers three core areas of eTrading within Global Markets at Nomura: Low Touch (Algo) eTrading – covers all algorithmic trading applications, including for market making, client RFQ’s, executions, etc. High Touch eTrading – covers all the non-algo trading applications, which could be either in-house developed, vendor based or an exchange/ venue provided GUI platform Trading Venues – relates to managing market place (Regulated Exchanges, MTF, OTF, ATS, etc.) where Nomura executes into The GM eTrading Risk and Controls (GM eTRC) team is responsible for the build out and maintenance of robust control framework that mitigates risks associated with all the above 3 areas As part of GM eTRC team, you will required to be involved in the overall mandate, to ensure efficiency & provide growth avenues, with a core area assigned to you as a primary responsibility What We Offer: <ul style="list-style-type:square;margin-bottom:0.0cm;margin-top:0.0px"> <li style="text-align:justify;margin:0.0cm 0.0cm 0.0cm 0.0px">We support employee wellbeing by ensuring a sense of purpose and belonging. </li> <li style="text-align:justify;margin:0.0cm 0.0cm 0.0cm 0.0px">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:0.0cm 0.0cm 0.0cm 0.0px">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:112.0pt;border:1.0pt solid windowtext;background-color:#d9d9d9;padding:0.0cm 5.4pt"> Corporate Title </td> <td style="width:338.8pt;border-top:1.0pt solid windowtext;border-right:1.0pt solid windowtext;border-bottom:1.0pt solid windowtext;border-left:none;background-color:#d9d9d9;padding:0.0cm 5.4pt"> Associate </td> </tr> <tr> <td style="width:112.0pt;border-right:1.0pt solid windowtext;border-bottom:1.0pt solid windowtext;border-left:1.0pt solid windowtext;border-top:none;background-color:#d9d9d9;padding:0.0cm 5.4pt"> Functional Title </td> <td style="width:338.8pt;border-top:none;border-left:none;border-bottom:1.0pt solid windowtext;border-right:1.0pt solid windowtext;background-color:#d9d9d9;padding:0.0cm 5.4pt"> Associate </td> </tr> <tr> <td style="width:112.0pt;border-right:1.0pt solid windowtext;border-bottom:1.0pt solid windowtext;border-left:1.0pt solid windowtext;border-top:none;background-color:#d9d9d9;padding:0.0cm 5.4pt"> Experience </td> <td style="width:338.8pt;border-top:none;border-left:none;border-bottom:1.0pt solid windowtext;border-right:1.0pt solid windowtext;background-color:#d9d9d9;padding:0.0cm 5.4pt"> 5-10 years of experience </td> </tr> <tr style="height:9.85pt"> <td style="width:112.0pt;border-right:1.0pt solid windowtext;border-bottom:1.0pt solid windowtext;border-left:1.0pt solid windowtext;border-top:none;background-color:#d9d9d9;padding:0.0cm 5.4pt"> Qualification </td> <td style="width:338.8pt;border-top:none;border-left:none;border-bottom:1.0pt solid windowtext;border-right:1.0pt solid windowtext;background-color:#d9d9d9;padding:0.0cm 5.4pt"> Masters/ Bachelor’s degree in Business/ Finance/ or similar field from a top tier university (MBA/ BE/ B.Tech, etc.) </td> </tr> </tbody> </table> Role & Responsibilities: <ul style="margin-top:0.0cm;margin-bottom:0.0cm" type="square"> <li style="margin-bottom:3.0pt;text-align:justify;margin-top:0.0cm;margin-right:0.0cm;Times New Roman', serif">Support the review of control design and effectiveness of adherence to regulatory & venue based requirements, e.g. MiFID II self-assessment, FCA Market Watch Review.</li> <li style="margin-bottom:3.0pt;text-align:justify;margin-top:0.0cm;margin-right:0.0cm;Times New Roman', serif">Assist in timely completion of annual assessments, affirmations, trainings, documentations, etc. (e.g. Venue algo attestations, Risk and Control Self-Assessment) and perform risk related assessments, periodic reviews (Automated Trading Controls Review, Limits Review, etc.) for all of GM eTrading businesses</li> <li style="margin-bottom:3.0pt;text-align:justify;margin-top:0.0cm;margin-right:0.0cm;Times New Roman', serif">Assist in governance forum preparations, like Electronic & Algorithmic Trading Operational Committee (EATOC), Venue Management Governance forum, etc. with activities such as defining the agenda & flow of the meeting, reviewing venues for key changes, following up with business & senior members for their inputs, reviewing Operational Risk Events & Incidents for inclusion, presenting key metrics, managing Term of Reference (ToR), etc. </li> <li style="margin-bottom:3.0pt;text-align:justify;margin-top:0.0cm;margin-right:0.0cm;Times New Roman', serif">Developing & continuous review of relevant metrics to reflect the appropriate risk appetite and performance of the eTrading business & venue management</li> <li style="margin-bottom:3.0pt;text-align:justify;margin-top:0.0cm;margin-right:0.0cm;Times New Roman', serif">Act as the point of contact for eTrading businesses with respect to any Governance Framework related topics and participate in various algo or venue projects</li> <li style="margin-bottom:3.0pt;text-align:justify;margin-top:0.0cm;margin-right:0.0cm;Times New Roman', serif">Perform monitoring activities across pre-trade trend alerts, trading activity alerts, market volatility alerts, trade validations, etc. </li> <li style="margin-bottom:3.0pt;text-align:justify;margin-top:0.0cm;margin-right:0.0cm;Times New Roman', serif">Governance and oversight of Nomura’s eTrading activities including maintenance of algorithms & risk controls inventory and related documentation.</li> <li style="margin-bottom:3.0pt;text-align:justify;margin-top:0.0cm;margin-right:0.0cm;Times New Roman', serif">Documenting end to end eTrading flows, mapping system upstream/ downstream, key controls, market places (trading venues) & legal entities, policies, procedures & frameworks owned & managed by the GM eTrading Risk & Controls team</li> <li style="margin-bottom:3.0pt;text-align:justify;margin-top:0.0cm;margin-right:0.0cm;Times New Roman', serif">Partner with regional GM eTRC team (1st Line of Defense), Electronic & Algo Trading Risks Management (EAT RM - 2nd Line of Defense), eTrading Compliance (2nd Line of Defense), Internal & External Audit (3rd Line of Defense), Change Management Teams, relevant IT teams, etc. for standardizing & streamlining activities and processes across the framework</li> <li style="margin-bottom:3.0pt;text-align:justify;margin-top:0.0cm;margin-right:0.0cm;Times New Roman', serif">Perform reviews on key & recent events/ incidents, to chalk out gaps, suggest relevant controls and propose remediation's for business to focus upon</li> <li style="margin-bottom:3.0pt;text-align:justify;margin-top:0.0cm;margin-right:0.0cm;Times New Roman', serif">Take part in the strategic implementations, providing views, assisting UAT, ensuring timely completion, gathering enhancement requirements, etc.</li> </ul> <ul style="list-style-type:square;margin-bottom:3.0pt;margin-top:0.0px"> <li style="margin:0.0cm 0.0cm 3.0pt 0.0px;text-align:justify;Times New Roman', serif">Bespoke analysis, specific and ad-hoc projects/tasks, attending governance forums representing the team, etc.</li> </ul> Mind Set: <table class="MsoTableGrid" style="width:454.25pt;border-collapse:collapse;border:none" border="1" cellspacing="0" cellpadding="0"> <tbody> <tr style="height:29.2pt"> <td style="width:67.25pt;border:solid windowtext 1.0pt;background-color:#002060;padding:0.0cm 5.4pt 0.0cm 5.4pt" valign="top"> </td> <td style="width:234.0pt;border:solid windowtext 1.0pt;border-left:none;background-color:#002060;padding:0.0cm 5.4pt 0.0cm 5.4pt" valign="top"> Mandatory </td> <td style="width:153.0pt;border:solid windowtext 1.0pt;border-left:none;background-color:#002060;padding:0.0cm 5.4pt 0.0cm 5.4pt" valign="top"> Desired </td> </tr> <tr style="height:79.05pt"> <td style="width:67.25pt;border:solid windowtext 1.0pt;border-top:none;background-color:#d9d9d9;padding:0.0cm 5.4pt 0.0cm 5.4pt"> Domain </td> <td style="width:234.0pt;border-top:none;border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;padding:0.0cm 5.4pt 0.0cm 5.4pt" valign="top"> <ul style="list-style-type:square;margin-top:0.0cm;margin-bottom:6.0pt"> <li style="margin:0.0cm 0.0cm 6.0pt 0.0px;Times New Roman', serif">Strong Analytical and Problem solving skills</li> <li style="margin:0.0cm 0.0cm 6.0pt 0.0px;Times New Roman', serif">Good project management skills - planning, coordination/ execution, stakeholder mgmt</li> <li style="margin:0.0cm 0.0cm 6.0pt 0.0px;Times New Roman', serif">Is entrepreneurial and independent; self-starter, takes ownership, exhibits integrity, strong motivation and attention to detail</li> <li style="margin:0.0cm 0.0cm 6.0pt 0.0px;Times New Roman', serif">Ability to prioritize high volumes of deliverables across multiple disciplines working under pressure</li> <li style="margin:0.0cm 0.0cm 6.0pt 0.0px;Times New Roman', serif">Ambition and enthusiasm to succeed in this challenging role </li> <li style="margin:0.0cm 0.0cm 6.0pt 0.0px;Times New Roman', serif">Strong analytical skills and a risk assessing mind set. </li> <li style="margin:0.0cm 0.0cm 6.0pt 0.0px;Times New Roman', serif">The person should have good communication skill as the job will involve a permanent interaction with the Front Office and all the support functions.</li> <li style="margin:0.0cm 0.0cm 6.0pt 0.0px;Times New Roman', serif">Language capability: English at Business level</li> </ul> </td> <td style="width:153.0pt;border-top:none;border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;padding:0.0cm 5.4pt 0.0cm 5.4pt" valign="top"> <ul style="list-style-type:square;margin-bottom:0.0cm;margin-top:0.0px"> <li style="margin:0.0cm 0.0cm 0.0cm 0.0px">Prior controls & risk experience (incl. Venue management) or performed audit of Global markets businesses would be preferred, but is not a deal breaker</li> </ul> </td> </tr> <tr style="height:53.25pt"> <td style="width:67.25pt;border:solid windowtext 1.0pt;border-top:none;background-color:#d9d9d9;padding:0.0cm 5.4pt 0.0cm 5.4pt"> Technical </td> <td style="width:234.0pt;border-top:none;border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;padding:0.0cm 5.4pt 0.0cm 5.4pt" valign="top"> <ul style="list-style-type:square;margin-top:0.0cm;margin-bottom:0.2pt"> <li style="margin:0.0cm 0.0cm 0.2pt 0.0px;Times New Roman', serif"> </li> </ul> </td> <td style="width:153.0pt;border-top:none;border-left:none;border-bottom:solid windowtext 1.0pt;border-right:solid windowtext 1.0pt;padding:0.0cm 5.4pt 0.0cm 5.4pt" valign="top"> <ul style="list-style-type:square;margin-top:0.0cm;margin-bottom:0.2pt"> <li style="margin:0.0cm 0.0cm 0.2pt 0.0px;Times New Roman', serif">Python / VBA / Dash boarding tools like Power BI / Tableau is also a plus but not a compulsory requirement</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).

FO Risk (Mumbai, IN, 400076) @ Nomura Holdings, inc.

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