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 <a href="http://www.nomura.com/">www.nomura.com</a><a href="http://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. 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: The Operations Risk & Control function is responsible for facilitating a sustainable governance framework to ensure controls are ‘fit for purpose’, operating as designed and are adaptable to the challenges brought in by various external events and regulatory changes. The team thus looks to facilitate identification of the firm’s risks by ensuring adequate controls are in place within Operations. We are currently looking for risk management professionals with prior experience to support our offshore framework as well as control initiatives based in Mumbai, India What We Offer: <ul style="margin-top:0.0cm;margin-bottom:1.35pt"> <li style="margin:0.0cm 0.0cm 1.35pt 0.0px;text-align:justify;line-height:104%;font-size:10.0pt;font-family:Arial, sans-serif;color:black">We support employee wellbeing by ensuring a sense of purpose and belonging. </li> <li style="margin:0.0cm 0.0cm 1.35pt 0.0px;text-align:justify;line-height:104%;font-size:10.0pt;font-family:Arial, sans-serif;color:black">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="margin:0.0cm 0.0cm 0.05pt 0.0px;text-align:justify;line-height:104%;font-size:10.0pt;font-family:Arial, sans-serif;color:black">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="TableGrid" style="width:450.8pt;margin-left:0.3pt;border-collapse:collapse" border="0" cellspacing="0" cellpadding="0"> <tbody> <tr style="height:11.9pt"> <td style="width:111.95pt;border:solid black 1.0pt;background-color:#d9d9d9;padding:0.0cm 5.75pt 0.0cm 5.35pt" valign="top"> Corporate Title </td> <td style="width:338.85pt;border:solid black 1.0pt;border-left:none;background-color:#d9d9d9;padding:0.0cm 5.75pt 0.0cm 5.35pt" valign="top"> Executive Director </td> </tr> <tr style="height:12.0pt"> <td style="width:111.95pt;border:solid black 1.0pt;border-top:none;background-color:#d9d9d9;padding:0.0cm 5.75pt 0.0cm 5.35pt" valign="top"> Functional Title </td> <td style="width:338.85pt;border-top:none;border-left:none;border-bottom:solid black 1.0pt;border-right:solid black 1.0pt;background-color:#d9d9d9;padding:0.0cm 5.75pt 0.0cm 5.35pt" valign="top"> Executive Director </td> </tr> <tr style="height:12.0pt"> <td style="width:111.95pt;border:solid black 1.0pt;border-top:none;background-color:#d9d9d9;padding:0.0cm 5.75pt 0.0cm 5.35pt" valign="top"> Experience </td> <td style="width:338.85pt;border-top:none;border-left:none;border-bottom:solid black 1.0pt;border-right:solid black 1.0pt;background-color:#d9d9d9;padding:0.0cm 5.75pt 0.0cm 5.35pt" valign="top"> 15+ years </td> </tr> <tr style="height:12.0pt"> <td style="width:111.95pt;border:solid black 1.0pt;border-top:none;background-color:#d9d9d9;padding:0.0cm 5.75pt 0.0cm 5.35pt" valign="top"> Qualification </td> <td style="width:338.85pt;border-top:none;border-left:none;border-bottom:solid black 1.0pt;border-right:solid black 1.0pt;background-color:#d9d9d9;padding:0.0cm 5.75pt 0.0cm 5.35pt" valign="top"> MBA </td> </tr> </tbody> </table> Role & Responsibilities: <table class="TableGrid" style="width:468.0pt;border-collapse:collapse" border="0" cellspacing="0" cellpadding="0"> <tbody> <tr style="height:35.7pt"> <td style="width:43.6pt;border-top:solid black 1.0pt;border-left:solid black 1.0pt;border-bottom:none;border-right:none;padding:0.0cm 5.75pt 0.0cm 0.0cm" valign="top"> ▪ </td> <td style="width:424.4pt;border-top:solid black 1.0pt;border-left:none;border-bottom:none;border-right:solid black 1.0pt;padding:0.0cm 5.75pt 0.0cm 0.0cm" valign="top"> Oversee control framework for Global Operations offshored to Powai, covering multiple Global Nomura entities </td> </tr> <tr style="height:34.55pt"> <td style="width:43.6pt;border:none;border-left:solid black 1.0pt;padding:0.0cm 5.75pt 0.0cm 0.0cm" valign="top"> ▪ </td> <td style="width:424.4pt;border:none;border-right:solid black 1.0pt;padding:0.0cm 5.75pt 0.0cm 0.0cm" valign="top"> Steer Control Testing reviews within Operations and fold back observations from R&C BAU into the reviews </td> </tr> <tr style="height:17.2pt"> <td style="width:43.6pt;border:none;border-left:solid black 1.0pt;padding:0.0cm 5.75pt 0.0cm 0.0cm" valign="top"> ▪ </td> <td style="width:424.4pt;border:none;border-right:solid black 1.0pt;padding:0.0cm 5.75pt 0.0cm 0.0cm" valign="top"> Drive a risk and control culture across Operations </td> </tr> <tr style="height:69.0pt"> <td style="width:43.6pt;border:none;border-left:solid black 1.0pt;padding:0.0cm 5.75pt 0.0cm 0.0cm" valign="bottom"> ▪ </td> <td style="width:424.4pt;border:none;border-right:solid black 1.0pt;padding:0.0cm 5.75pt 0.0cm 0.0cm" valign="top"> Manage the Risks and Control Self-Assessment (RCSA) process for Operations, challenge the appropriateness and completeness of the risk repositories with the functional managers (where required) and interface with ORM (Operational Risk Management) for addition of new risks / amendment of existing risks, etc. </td> </tr> <tr style="height:34.5pt"> <td style="width:43.6pt;border:none;border-left:solid black 1.0pt;padding:0.0cm 5.75pt 0.0cm 0.0cm" valign="bottom"> ▪ </td> <td style="width:424.4pt;border:none;border-right:solid black 1.0pt;padding:0.0cm 5.75pt 0.0cm 0.0cm" valign="top"> Oversee the KRI (Key Risk Indicators) breaks and exceptions, as well as Appetite Metrics periodically to assess impact and ensure they remain within tolerance </td> </tr> <tr style="height:34.5pt"> <td style="width:43.6pt;border:none;border-left:solid black 1.0pt;padding:0.0cm 5.75pt 0.0cm 0.0cm" valign="top"> ▪ </td> <td style="width:424.4pt;border:none;border-right:solid black 1.0pt;padding:0.0cm 5.75pt 0.0cm 0.0cm" valign="top"> Lead investigation and analysis of incidents / events, root cause analysis and propose strategic actions </td> </tr> <tr style="height:51.7pt"> <td style="width:43.6pt;border:none;border-left:solid black 1.0pt;padding:0.0cm 5.75pt 0.0cm 0.0cm" valign="top"> ▪ </td> <td style="width:424.4pt;border:none;border-right:solid black 1.0pt;padding:0.0cm 5.75pt 0.0cm 0.0cm" valign="top"> Lead engagements concerning the control framework with Internal / External Auditors (audit related); oversee completion of such audits [from Operations’ standpoint] as well as SOX Audits </td> </tr> <tr style="height:34.5pt"> <td style="width:43.6pt;border:none;border-left:solid black 1.0pt;padding:0.0cm 5.75pt 0.0cm 0.0cm" valign="top"> ▪ </td> <td style="width:424.4pt;border:none;border-right:solid black 1.0pt;padding:0.0cm 5.75pt 0.0cm 0.0cm" valign="top"> Drive closure of audit findings, regulatory issues, and management action points, partnering with business functions to ensure complete and sustainable closures </td> </tr> <tr style="height:34.5pt"> <td style="width:43.6pt;border:none;border-left:solid black 1.0pt;padding:0.0cm 5.75pt 0.0cm 0.0cm" valign="top"> ▪ </td> <td style="width:424.4pt;border:none;border-right:solid black 1.0pt;padding:0.0cm 5.75pt 0.0cm 0.0cm" valign="top"> Collaborate with cross divisional / regional counterparts on initiatives looking to enhance the control and governance framework for Operations </td> </tr> <tr style="height:34.5pt"> <td style="width:43.6pt;border:none;border-left:solid black 1.0pt;padding:0.0cm 5.75pt 0.0cm 0.0cm" valign="bottom"> ▪ </td> <td style="width:424.4pt;border:none;border-right:solid black 1.0pt;padding:0.0cm 5.75pt 0.0cm 0.0cm" valign="top"> Ensure consistent understanding of relevant standards and guidelines applicable to Operations </td> </tr> <tr style="height:51.7pt"> <td style="width:43.6pt;border:none;border-left:solid black 1.0pt;padding:0.0cm 5.75pt 0.0cm 0.0cm" valign="top"> ▪ </td> <td style="width:424.4pt;border:none;border-right:solid black 1.0pt;padding:0.0cm 5.75pt 0.0cm 0.0cm" valign="top"> Organize materials for training, awareness, case study sessions on themes relevant to the current control environment to ensure uniform appreciation of existing risks and controls among the Operations teams </td> </tr> <tr style="height:34.55pt"> <td style="width:43.6pt;border:none;border-left:solid black 1.0pt;padding:0.0cm 5.75pt 0.0cm 0.0cm" valign="top"> ▪ </td> <td style="width:424.4pt;border:none;border-right:solid black 1.0pt;padding:0.0cm 5.75pt 0.0cm 0.0cm" valign="top"> Ensure preparation of relevant updates for cross border forums, monthly meetings, etc., as required. </td> </tr> <tr style="height:34.45pt"> <td style="width:43.6pt;border:none;border-left:solid black 1.0pt;padding:0.0cm 5.75pt 0.0cm 0.0cm" valign="top"> ▪ </td> <td style="width:424.4pt;border:none;border-right:solid black 1.0pt;padding:0.0cm 5.75pt 0.0cm 0.0cm" valign="top"> Oversee regulatory compliance activities including but not limited to deliverables to regulators (via Compliance), regulatory incident analysis, etc. </td> </tr> <tr style="height:34.6pt"> <td style="width:43.6pt;border:none;border-left:solid black 1.0pt;padding:0.0cm 5.75pt 0.0cm 0.0cm" valign="top"> ▪ </td> <td style="width:424.4pt;border:none;border-right:solid black 1.0pt;padding:0.0cm 5.75pt 0.0cm 0.0cm" valign="top"> Leverage data analytics and AI to identify risk patterns, predict potential issues, and enhance monitoring capabilities </td> </tr> <tr style="height:51.75pt"> <td style="width:43.6pt;border:none;border-left:solid black 1.0pt;padding:0.0cm 5.75pt 0.0cm 0.0cm" valign="bottom"> ▪ </td> <td style="width:424.4pt;border:none;border-right:solid black 1.0pt;padding:0.0cm 5.75pt 0.0cm 0.0cm" valign="top"> Lead discussions with cross divisional risk partners such as Wholesale Control Office, ORM, etc. on Aggregated Risk Profile Meetings, Risk Committees, Cross Border Governance Forums, and other strategic decision-making bodies </td> </tr> <tr style="height:34.45pt"> <td style="width:43.6pt;border:none;border-left:solid black 1.0pt;padding:0.0cm 5.75pt 0.0cm 0.0cm" valign="top"> ▪ </td> <td style="width:424.4pt;border:none;border-right:solid black 1.0pt;padding:0.0cm 5.75pt 0.0cm 0.0cm" valign="top"> Collaborate with Global Functional Risk and Control teams to ensure consistency in risk management approaches, methodologies, and reporting standards across all regions. </td> </tr> <tr style="height:77.1pt"> <td style="width:43.6pt;border-top:none;border-left:solid black 1.0pt;border-bottom:solid black 1.0pt;border-right:none;padding:0.0cm 5.75pt 0.0cm 0.0cm" valign="top"> ▪ </td> <td style="width:424.4pt;border-top:none;border-left:none;border-bottom:solid black 1.0pt;border-right:solid black 1.0pt;padding:0.0cm 5.75pt 0.0cm 0.0cm" valign="top"> Partner with other business functions like Technology, Front Office Supervision, ORM, Compliance on day-to-day issues as well as strategic outlook for risk management within Operations </td> </tr> </tbody> </table> Mind Set: <table class="TableGrid" style="width:467.45pt;margin-left:0.3pt;border-collapse:collapse" border="0" cellspacing="0" cellpadding="0"> <tbody> <tr style="height:29.6pt"> <td style="width:101.45pt;border:solid black 1.0pt;background-color:#002060;padding:0.55pt 4.1pt 3.05pt 0.0cm" valign="top"> </td> <td style="width:23.45pt;border-top:solid black 1.0pt;border-left:none;border-bottom:solid black 1.0pt;border-right:none;background-color:#002060;padding:0.55pt 4.1pt 3.05pt 0.0cm" valign="top"> </td> <td style="width:168.5pt;border:solid black 1.0pt;border-left:none;background-color:#002060;padding:0.55pt 4.1pt 3.05pt 0.0cm" valign="top"> Mandatory </td> <td style="width:174.1pt;border:solid black 1.0pt;border-left:none;background-color:#002060;padding:0.55pt 4.1pt 3.05pt 0.0cm" valign="top"> Desired </td> </tr> <tr style="height:270.3pt"> <td style="width:101.45pt;border-top:none;border-left:solid black 1.0pt;border-bottom:none;border-right:solid black 1.0pt;background-color:#d9d9d9;padding:0.55pt 4.1pt 3.05pt 0.0cm" valign="bottom"> Domain </td> <td style="width:23.45pt;border:none;padding:0.55pt 4.1pt 3.05pt 0.0cm" valign="top"> ▪ ▪ ▪ ▪ ▪ </td> <td style="width:168.5pt;border:none;border-right:solid black 1.0pt;padding:0.55pt 4.1pt 3.05pt 0.0cm" valign="bottom"> 15 + years of experience in Operations, preferably with a risk management background Strategic mind-set with the ability to assess and analyze emerging risks for Operations as well as newer industry risks Collaborative working style, with strong communication skills Is articulate and has good presentation skills Is comfortable with negotiating; possesses an ability to seek buy-ins from key stakeholders </td> <td style="width:174.1pt;border:none;border-right:solid black 1.0pt;padding:0.55pt 4.1pt 3.05pt 0.0cm" valign="top"> </td> </tr> <tr style="height:51.8pt"> <td style="width:101.45pt;border-top:none;border-left:solid black 1.0pt;border-bottom:none;border-right:solid black 1.0pt;background-color:#d9d9d9;padding:0.55pt 4.1pt 3.05pt 0.0cm" valign="top"> </td> <td style="width:23.45pt;border:none;padding:0.55pt 4.1pt 3.05pt 0.0cm" valign="top"> ▪ </td> <td style="width:168.5pt;border:none;border-right:solid black 1.0pt;padding:0.55pt 4.1pt 3.05pt 0.0cm" valign="top"> Has keen attention to details, able to multitask and enjoys problem solving </td> <td style="width:174.1pt;border:none;border-right:solid black 1.0pt;padding:0.55pt 4.1pt 3.05pt 0.0cm" valign="top"> </td> </tr> <tr style="height:103.5pt"> <td style="width:101.45pt;border-top:none;border-left:solid black 1.0pt;border-bottom:none;border-right:solid black 1.0pt;background-color:#d9d9d9;padding:0.55pt 4.1pt 3.05pt 0.0cm" valign="top"> </td> <td style="width:23.45pt;border:none;padding:0.55pt 4.1pt 3.05pt 0.0cm" valign="top"> ▪ </td> <td style="width:168.5pt;border:none;border-right:solid black 1.0pt;padding:0.55pt 4.1pt 3.05pt 0.0cm" valign="top"> Possesses strong analytical skills and an ability to quickly learn new products and systems; shows willingness to be able to thrive in a challenging and constantly changing environment </td> <td style="width:174.1pt;border:none;border-right:solid black 1.0pt;padding:0.55pt 4.1pt 3.05pt 0.0cm" valign="top"> </td> </tr> <tr style="height:51.45pt"> <td style="width:101.45pt;border:solid black 1.0pt;border-top:none;background-color:#d9d9d9;padding:0.55pt 4.1pt 3.05pt 0.0cm" valign="top"> </td> <td style="width:23.45pt;border:none;border-bottom:solid black 1.0pt;padding:0.55pt 4.1pt 3.05pt 0.0cm" valign="top"> ▪ </td> <td style="width:168.5pt;border-top:none;border-left:none;border-bottom:solid black 1.0pt;border-right:solid black 1.0pt;padding:0.55pt 4.1pt 3.05pt 0.0cm" valign="top"> Is dynamic - with a strong character and excellent interpersonal skills </td> <td style="width:174.1pt;border-top:none;border-left:none;border-bottom:solid black 1.0pt;border-right:solid black 1.0pt;padding:0.55pt 4.1pt 3.05pt 0.0cm" valign="top"> </td> </tr> <tr style="height:117.9pt"> <td style="width:101.45pt;border:solid black 1.0pt;border-top:none;background-color:#d9d9d9;padding:0.55pt 4.1pt 3.05pt 0.0cm"> Technical </td> <td style="width:23.45pt;border:none;border-bottom:solid black 1.0pt;padding:0.55pt 4.1pt 3.05pt 0.0cm" valign="top"> ▪ ▪ </td> <td style="width:168.5pt;border-top:none;border-left:none;border-bottom:solid black 1.0pt;border-right:solid black 1.0pt;padding:0.55pt 4.1pt 3.05pt 0.0cm" valign="top"> Has a good understanding of data analytics / visualization tools, as well as audit methodologies Possesses Knowledge of global regulatory environments and emerging risk trends </td> <td style="width:174.1pt;border-top:none;border-left:none;border-bottom:solid black 1.0pt;border-right:solid black 1.0pt;padding:0.55pt 4.1pt 3.05pt 0.0cm" valign="top"> </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).

OPS-RC / Risk & Control (Mumbai, IN) @ Nomura Holdings, inc.

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