Divisional Overview: <a name="_Hlk207630763"></a>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 GM Compliance department is responsible for establishing and maintaining an effective compliance framework across Nomura's operations, ensuring adherence to applicable laws, regulations and internal policies. Within Global Markets, the Compliance team provides advisory support, regulatory change management, and oversight of conduct risks to support the Global Markets businesses across the region 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:134.45pt;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:316.35pt;border:solid windowtext 1.0pt;border-left:none;background-color:#d9d9d9;padding:0.0in 5.4pt 0.0in 5.4pt" valign="top"> Associate </td> </tr> <tr> <td style="width:134.45pt;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:316.35pt;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"> Manager / AVP </td> </tr> <tr> <td style="width:134.45pt;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:316.35pt;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"> 7 to 10 Years </td> </tr> <tr style="height:9.85pt"> <td style="width:134.45pt;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:316.35pt;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/Postgraduate </td> </tr> <tr style="height:6.25pt"> <td style="width:134.45pt;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:316.35pt;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"> 13515 </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"> Trading Support and Front-Office Advisory: <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">Provide day-to-day compliance support and guidance to Sales and Trading teams on equities trading matters, always ensuring adherence to internal procedures and regulatory standards throughout trading hours</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">Respond promptly to front-office queries relating to order handling, trade execution, client instructions, best execution and market conduct, escalating to senior compliance staff where appropriate</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">Work with business teams to address client inquiries in a manner that supports client relationships while ensuring regulatory expectations and compliance standards are met</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">Monitor trading activity and communications for potential compliance issues, and support the investigation and remediation of incidents as directed</li> </ul> Regulatory Coordination and Controls: <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">Participate in compliance independent reviews and/or assurance testing programs to ensure business processes and controls meet required standards</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 and submit routine regulatory filings and notifications on time, ensuring accuracy and completeness of information</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">Coordinate information requests for regulatory examinations and audits when required, liaising with business, operations and other stakeholders to compile necessary materials</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 maintaining compliance policies, procedures and guidance documents relevant to the Cash Equities business, ensuring they remain current and fit for purpose</li> </ul> Regulatory Change and Management Information: <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">Support senior compliance staff in monitoring new regulatory initiatives and developments relevant to the Cash Equities business, and assist in implementing changes across different business teams</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 preparing regular management information (MI) reports and presentations on compliance activities, key risk indicators, incident trends and regulatory updates for senior management</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">Collaborate with various internal stakeholders across the organization to ensure effective processes, promote strong conduct standards, and support a positive compliance culture</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">Maintain accurate records of compliance activities, decisions and escalations in accordance with document retention and governance requirements</li> </ul> Regional collaboration and Coordination <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">Serve as the front-line representative for compliance, risk and deal with regional stakeholders.</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">Provide MI with actionable insights, metrics, and management information to senior leadership and governance forums.</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 global surveillance policy development and control enhancements.</li> </ul> Change management and Innovation <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">Fostering and implementing automation, AI, and advanced analytics </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">Lead process improvement initiatives to optimise workflows and reduce operational risk.</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 global transformation programs and align local/regional initiatives with enterprise objectives</li> </ul> </div> </td> </tr> </tbody> </table> </td> </tr> </tbody> </table> Mind Set: <table class="MsoTableGrid" style="width:443.5pt;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"> Asian 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"> Asian market regulatory framework and market abuse: Knowledge of Asian 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:450.3pt;border-collapse:collapse" border="0" cellspacing="0" cellpadding="0"> <tbody> <tr style="height:26.05pt"> <td style="width:94.65pt;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:182.6pt;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:173.05pt;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:63.15pt"> <td style="width:94.65pt;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:182.6pt;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:173.05pt;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:52.6pt"> <td style="width:94.65pt;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:182.6pt;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:173.05pt;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:63.15pt"> <td style="width:94.65pt;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:182.6pt;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:173.05pt;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:63.15pt"> <td style="width:94.65pt;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:182.6pt;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:173.05pt;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:73.65pt"> <td style="width:94.65pt;border:solid windowtext 1.0pt;border-top:none;padding:0.0in 5.4pt 0.0in 5.4pt" nowrap="nowrap"> Inclusion </td> <td style="width:182.6pt;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:173.05pt;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).

COM-Business Compliance (Mumbai, IN) @ Nomura Holdings, inc.

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