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 <a href="http://www.nomura.com">www.nomura.com</a> 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.Business Unit Overview: Investment Banking Powai team is an extension of the regional Investment Banking (Front Office) teams supporting the following key areas: <ul style="margin-top:1.4pt;margin-bottom:0.0in"> <li style="margin:1.4pt 7.75pt 0.0in 0.0px;text-align:justify;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">M&A</li> <li style="margin:1.4pt 7.75pt 0.0in 0.0px;text-align:justify;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Equity Advisory & Private Placements</li> <li style="margin:1.4pt 7.75pt 0.0in 0.0px;text-align:justify;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Secondary Advisory, Debt Advisory</li> <li style="margin:1.4pt 7.75pt 0.0in 0.0px;text-align:justify;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Coverage / Sector Banking </li> <li style="margin:1.4pt 7.75pt 0.0in 0.0px;text-align:justify;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Debt Capital Markets</li> <li style="margin:1.4pt 7.75pt 0.0in 0.0px;text-align:justify;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Acquisition Leveraged Finance</li> <li style="margin:1.4pt 7.75pt 0.0in 0.0px;text-align:justify;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Debt Syndicate</li> <li style="margin:1.4pt 7.75pt 0.0in 0.0px;text-align:justify;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Structured Solutions (Risk Solutions Group, Insurance Solutions Group) </li> <li style="margin:1.4pt 7.75pt 0.0in 0.0px;text-align:justify;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Japanese Equity Syndicate (Equities & Equity Linked Bonds)</li> </ul> Role Description This role is within the International IB Risk and Control Team. The role will be responsible for supporting the Head of IBCO, International in developing and operating the risk and control environment in Investment Banking across EMEA & AEJ regions. In particular: <ul style="margin-top:1.4pt;margin-bottom:10.0pt"> <li style="margin:1.4pt 7.75pt 10.0pt 0.0px;text-align:justify;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Support IB Supervisors in implementing and operating the IB Supervision Framework. </li> <li style="margin:1.4pt 7.75pt 10.0pt 0.0px;text-align:justify;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Implement and maintain the IB Key Supervisory Controls (KSC). </li> <li style="margin:1.4pt 7.75pt 10.0pt 0.0px;text-align:justify;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Perform banking controls as required, including KYC Salesforce control and Adverse News. </li> <li style="margin:1.4pt 7.75pt 10.0pt 0.0px;text-align:justify;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Review Data Loss Prevention (DLP) alerts from a first-line perspective. </li> <li style="margin:1.4pt 7.75pt 10.0pt 0.0px;text-align:justify;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Implement conduct risk frameworks in line with regional requirements. </li> <li style="margin:1.4pt 7.75pt 10.0pt 0.0px;text-align:justify;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Investigate conduct events and incidents as required. </li> <li style="margin:1.4pt 7.75pt 10.0pt 0.0px;text-align:justify;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Support Global / Wholesale reporting and MI as required. </li> <li style="margin:1.4pt 7.75pt 10.0pt 0.0px;text-align:justify;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Manage the IB new joiner, transfer, and Supervisor processes, including associated training. </li> <li style="margin:1.4pt 7.75pt 10.0pt 0.0px;text-align:justify;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Review and maintain the IB Conflicts Registers. </li> <li style="margin:1.4pt 7.75pt 10.0pt 0.0px;text-align:justify;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Support the cross-border frameworks — ranging from travel to Hong Kong (temporary licensing), Singapore travel and the FRC framework, UK cross-border interactions, and US 15a-6 requirements. </li> <li style="margin:1.4pt 7.75pt 10.0pt 0.0px;text-align:justify;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Maintain a training and licensing requirements register / tool. </li> <li style="margin:1.4pt 7.75pt 10.0pt 0.0px;text-align:justify;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Support the review and drafting of IBD Policies and Procedures and the IB Supervision Handbook. </li> <li style="margin:1.4pt 7.75pt 10.0pt 0.0px;text-align:justify;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Coordinate with IT / Development teams to enhance and automate the supervision framework — including, but not limited to, personal and compliance conflict-of-interest reporting, registrations, and supervision reports. </li> <li style="margin:1.4pt 7.75pt 10.0pt 0.0px;text-align:justify;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Collate information from stakeholders and prepare meeting packs, MI, and minutes for IB governance forums and committees. </li> <li style="margin:1.4pt 7.75pt 10.0pt 0.0px;text-align:justify;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Support the function in collating information and drafting responses to Audit, Compliance, and external reviews. </li> <li style="margin:1.4pt 7.75pt 0.0in 0.0px;text-align:justify;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Provide support to non-financial risk programs, including regulatory and business change globally, as required.</li> </ul> Skills, experience, qualifications and knowledge required <ul style="margin-top:1.4pt;margin-bottom:10.0pt"> <li style="margin:1.4pt 7.75pt 10.0pt 0.0px;text-align:justify;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Strong experience in Investment Banking, with a solid understanding of the product spectrum and IB operations. </li> <li style="margin:1.4pt 7.75pt 10.0pt 0.0px;text-align:justify;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Proven experience operating a risk and control environment within a large front-office business. </li> <li style="margin:1.4pt 7.75pt 10.0pt 0.0px;text-align:justify;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Ability to engage with, and deliver to, stakeholders across the Investment Banking business. </li> <li style="margin:1.4pt 7.75pt 10.0pt 0.0px;text-align:justify;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Ability to project-manage multiple department-wide projects and initiatives concurrently. </li> <li style="margin:1.4pt 7.75pt 10.0pt 0.0px;text-align:justify;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Strong interpersonal skills, with the ability to operate at all levels of the business and across the Wholesale division. </li> <li style="margin:1.4pt 7.75pt 10.0pt 0.0px;text-align:justify;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Ability to build and maintain a network of relevant stakeholders across Banking and Corporate functions. </li> <li style="margin:1.4pt 7.75pt 10.0pt 0.0px;text-align:justify;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Adaptability to change, with the ability to build relationships and collaborate effectively. </li> <li style="margin:1.4pt 7.75pt 0.0in 0.0px;text-align:justify;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Organized, methodical approach to work, with the ability to present complex subjects in an accessible way.</li> <li style="margin:1.4pt 7.75pt 0.0in 0.0px;text-align:justify;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Strong, independent judgment with the confidence to constructively challenge senior front-office stakeholders while maintaining objectivity and a clear escalation mindset.</li> <li style="margin:1.4pt 7.75pt 0.0in 0.0px;text-align:justify;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Excellent written skills, with the ability to draft and review policies, procedures, handbooks, investigation findings, and governance MI to a high standard.</li> <li style="margin:1.4pt 7.75pt 0.0in 0.0px;text-align:justify;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Openness to leveraging emerging technologies, including AI and automation tools, to enhance the efficiency and effectiveness of supervisory controls, MI, and reporting. </li> </ul> Position Specifications: <a name="Pg2"></a> <table class="MsoTableGrid" style="border-collapse:collapse;width:44%;height:157.375px;border:medium none currentcolor" border="1" cellspacing="0" cellpadding="0"> <tbody> <tr style="height:17.8594px"> <td style="width:0%;border:1.0pt solid windowtext;background-color:#d9d9d9;padding:0.0in 5.4pt" valign="top"> Corporate Title </td> <td style="width:0%;border-width:1.0pt 1.0pt 1.0pt medium;border-style:solid solid solid none;border-color:windowtext windowtext windowtext currentcolor;background-color:#d9d9d9;padding:0.0in 5.4pt" valign="top"> Associate </td> </tr> <tr style="height:17.8594px"> <td style="width:0%;border-width:medium 1.0pt 1.0pt;border-style:none solid solid;border-color:currentcolor windowtext windowtext;background-color:#d9d9d9;padding:0.0in 5.4pt" valign="top"> Functional Title </td> <td style="width:0%;border-width:medium 1.0pt 1.0pt medium;border-style:none solid solid none;border-color:currentcolor windowtext windowtext currentcolor;background-color:#d9d9d9;padding:0.0in 5.4pt" valign="top"> Associate </td> </tr> <tr style="height:34.7188px"> <td style="width:0%;border-width:medium 1.0pt 1.0pt;border-style:none solid solid;border-color:currentcolor windowtext windowtext;background-color:#d9d9d9;padding:0.0in 5.4pt" valign="top"> Experience </td> <td style="width:0%;border-width:medium 1.0pt 1.0pt medium;border-style:none solid solid none;border-color:currentcolor windowtext windowtext currentcolor;background-color:#d9d9d9;padding:0.0in 5.4pt" valign="top"> 4–5 years of relevant IB Supervision (Front Office Supervision) experience </td> </tr> <tr style="height:86.9375px"> <td style="width:0%;border-width:medium 1.0pt 1.0pt;border-style:none solid solid;border-color:currentcolor windowtext windowtext;background-color:#d9d9d9;padding:0.0in 5.4pt" valign="top"> Qualification </td> <td style="width:0%;border-width:medium 1.0pt 1.0pt medium;border-style:none solid solid none;border-color:currentcolor windowtext windowtext currentcolor;background-color:#d9d9d9;padding:0.0in 5.4pt" valign="top"> Preferred <ul style="margin-top:0.25pt;margin-bottom:0.0in"> <li style="margin:0.25pt 0.0in 0.0in 0.0px;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">MBA or</li> <li style="margin:0.25pt 0.0in 0.0in 0.0px;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Chartered Accountant (CA) or</li> <li style="margin:0.25pt 0.0in 0.0in 0.0px;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Postgraduate or</li> <li style="margin:0.25pt 0.0in 0.0in 0.0px;line-height:115%;font-size:11.0pt;font-family:Calibri, sans-serif">Lawyer/ Company Secretary</li> </ul> </td> </tr> </tbody> </table> Nomura Core Competencies: <table class="MsoNormalTable" style="margin-left:1.3pt;border-collapse:collapse;background-color:#ecf0f1;border-color:#ced4d9;border-style:solid;width:43%;height:632.5px" border="0" cellspacing="0" cellpadding="0"> <tbody> <tr style="height:18.2656px"> <td style="width:0%;border-style:solid;border-color:#ced4d9;padding:0.0in" colspan="2" valign="top"> Competencies Behavioural Indicators </td> </tr> <tr style="height:83.6406px"> <td style="width:0%;border-style:none solid solid;border-color:#ced4d9;padding:0.0in" valign="top"> Culture & Conduct Building Nomura’s Culture Diversity & Inclusion Professional Integrity Self-Awareness </td> <td style="width:0%;border-style:none solid solid none;border-color:#ced4d9;padding:0.0in" valign="top"> Contributes to desired culture Sets positive example Aware of different values/styles Holds high standards of behaviour Aware of own strengths/weaknesses </td> </tr> <tr style="height:66.5781px"> <td style="width:0%;border-style:none solid solid;border-color:#ced4d9;padding:0.0in" valign="top"> Client-Centricity & Business Acumen Commerciality Client-Centricity Analytical Thinking & Problem Solving </td> <td style="width:0%;border-style:none solid solid none;border-color:#ced4d9;padding:0.0in" valign="top"> Understands current market Anticipates client needs Pays attention to detail Sees problems, recommends solutions </td> </tr> <tr style="height:82.9062px"> <td style="width:0%;border-style:none solid solid;border-color:#ced4d9;padding:0.0in" valign="top"> Strategy & Innovation Strategic Thinking & Change Decision Making & Judgment Agility </td> <td style="width:0%;border-style:none solid solid none;border-color:#ced4d9;padding:0.0in" valign="top"> Balances alternative views Knows when to decide/when to escalate Champions new ideas Is both disciplined and entrepreneurial Sees when to escalate </td> </tr> <tr style="height:99.3438px"> <td style="width:0%;border-style:none solid solid;border-color:#ced4d9;padding:0.0in" valign="top"> Leadership & Collaboration Managing Talent Recognizing and Motivating Supporting, Developing & Collaborating with others Managing Conflict </td> <td style="width:0%;border-style:none solid solid none;border-color:#ced4d9;padding:0.0in" valign="top"> Thinks differently Balances alternative views Knows when/how to compromise Learns from experience Seeks to develop </td> </tr> <tr style="height:66.7812px"> <td style="width:0%;border-style:none solid solid;border-color:#ced4d9;padding:0.0in" valign="top"> Communication & Connectivity Articulation & Receptiveness Impact Connectivity </td> <td style="width:0%;border-style:none solid solid none;border-color:#ced4d9;padding:0.0in" valign="top"> Assists in recruiting Gives credit Builds productive working relationships Provides constructive, timely and specific feedback </td> </tr> <tr style="height:115.688px"> <td style="width:0%;border-style:none solid solid;border-color:#ced4d9;padding:0.0in" valign="top"> Communication & Influence Articulation and Receptiveness Impact Connectivity </td> <td style="width:0%;border-style:none solid solid none;border-color:#ced4d9;padding:0.0in" valign="top"> Adjusts style to suit topic Balances listening/talking Communicates with clarity and consideration Is a proven and credible resource Questions to understand others’ views Builds internal contact network Willingly effectively works across teams </td> </tr> <tr style="height:99.2969px"> <td style="width:0%;border-style:none solid solid;border-color:#ced4d9;padding:0.0in" valign="top"> Execution & Delivery Driving Performance Execution-Focus Planning & Organising Adaptability </td> <td style="width:0%;border-style:none solid solid none;border-color:#ced4d9;padding:0.0in" valign="top"> Demonstrates accountability/commitment Takes on challenging assignments Executes priority actions on-time Keeps stakeholders updated Manages expectations Persists when confronted with resistance </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).

IB - Risk & Control COO (Mumbai, IN) @ Nomura Holdings, inc.

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