Divisional Overview: Powai LCC broadly covers the areas of Legal, Compliance and Conduct, and is responsible for building a robust risk and control framework. The Powai LCC teams support Nomura Powai entities, as well as LCC teams globally to ensure effective risk management of Legal, Compliance and Conduct 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 independent CAO function actively supports and advances Powai Legal and Compliance's vision through several key initiatives. It designs and drive strategic initiatives that align with and propel Powai Legal and Compliance's goals. The team manages financial operations with precision and foresight, ensuring optimal resource allocation and fiscal health. The team Implements and maintains a robust administrative framework for both Powai and Offshore CAO activities, with a strong focus on enhancing control and governance measures. The team leads the globalization project by spearheading the transformation journey thereby fostering a culture of innovation and continuous improvement within the team, encouraging proactive problem-solving and creative solutions. 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:solid windowtext 1.0pt;background-color:#d9d9d9;padding:0.0in 5.4pt 0.0in 5.4pt" valign="top"> Corporate Title </td> <td style="width:338.8pt;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:112.0pt;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:338.8pt;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"> AVP </td> </tr> <tr> <td style="width:112.0pt;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:338.8pt;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"> 12-15 years </td> </tr> <tr style="height:9.85pt"> <td style="width:112.0pt;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:338.8pt;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"> Post-Graduate </td> </tr> <tr style="height:6.25pt"> <td style="width:112.0pt;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:338.8pt;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"> XXXX </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"> <ul style="list-style-type:square;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">Drive transition initiatives and establish robust governance frameworks for CAO operations including budget tracking, accruals, invoice management, inventory management and business MIS.</li> </ul> <ul style="list-style-type:square;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">Drive Head count management activities for the division including leavers / joiner movement, job requisitions and position tracking.</li> </ul> <ul style="list-style-type:square;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">Support the Head of CAO in designing, driving, and implementing the divisional strategy.</li> </ul> <ul style="list-style-type:square;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">Drive Vendor Risk Management processes across the division.</li> </ul> <ul style="list-style-type:square;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">Develop and maintain comprehensive transition SOPs and playbooks for all CAO activities.</li> </ul> <ul style="list-style-type:square;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">Recommend best practices to standardize operational processes across regions.</li> </ul> <ul style="list-style-type:square;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">Ensure timely execution of activities in accordance with defined SLAs.</li> </ul> <ul style="list-style-type:square;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">Responsible for annual budget exercise, review financials, and analyze actuals vs budget variances</li> </ul> <ul style="list-style-type:square;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">Responsible for preparation of various MIS reports for senior management with detailed analysis, rationale, and variance explanations.</li> </ul> <ul style="list-style-type:square;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">Responsible for Developing and maintaining project trackers and executive dashboards with real-time monitoring.</li> </ul> <ul style="list-style-type:square;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">Prepare headcount-related MIS including trend analysis, organizational charts, job requisitions, and position tracking.</li> </ul> <ul style="list-style-type:square;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">Support preparation of presentations, decks, and dashboards covering KPIs, KRIs, headcount metrics, and cost analysis</li> </ul> <ul style="list-style-type:square;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">Assist in driving BCP related activities for the division. Preparing CAO Business Continuity Planning (BCP) documents, including Business Impact Analysis (BIA) and regional recovery plans</li> </ul> <ul style="list-style-type:square;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">Track and comprehensive transition documentation, Statements of Work (SOWs), and other relevant team documentation</li> </ul> <ul style="list-style-type:square;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">Coordinate various initiatives and projects within the CAO team, partnering with functional leads for timely delivery.</li> </ul> <ul style="list-style-type:square;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">Handle employee and management queries related to CAO activities</li> </ul> <ul style="list-style-type:square;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">Communicate effectively with regional managers on various initiatives and updates</li> </ul> <ul style="list-style-type:square;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">Build and maintain relationships with critical stakeholders and business partners</li> </ul> <ul style="list-style-type:square;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">Liaise with cross-functional teams to ensure seamless collaboration and project delivery</li> </ul> </div> </td> </tr> </tbody> </table> </td> </tr> </tbody> </table> Mind Set: <table class="MsoTableGrid" style="width:467.55pt;border-collapse:collapse;border:none" border="1" cellspacing="0" cellpadding="0"> <tbody> <tr style="height:29.2pt"> <td style="width:101.5pt;border:solid windowtext 1.0pt;background-color:#002060;padding:0.0in 5.4pt 0.0in 5.4pt" valign="top"> </td> <td style="width:191.9pt;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:174.15pt;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:79.05pt"> <td style="width:101.5pt;border:solid windowtext 1.0pt;border-top:none;background-color:#d9d9d9;padding:0.0in 5.4pt 0.0in 5.4pt"> Domain / Technical </td> <td style="width:191.9pt;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"> <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">Experience working in CAO team</li> <li style="margin:0.0in 0.0in 0.0in 0.0px;font-size:12.0pt;font-family:'Times New Roman', serif">Relationship Management experience</li> <li style="text-align:justify;margin:0.0in 0.0in 0.0in 0.0px;font-size:12.0pt;font-family:'Times New Roman', serif">Strong knowledge of Microsoft Office products – Outlook, Excel, PowerPoint and Word</li> <li style="margin:0.0in 0.0in 0.0in 0.0px;font-size:12.0pt;font-family:'Times New Roman', serif">Excellent communication skills (Written and Oral) with experience in dealing with external stakeholders</li> <li style="margin:0.0in 0.0in 0.0in 0.0px;font-size:12.0pt;font-family:'Times New Roman', serif">Analytical skills with attention to details and accuracy </li> <li style="margin:0.0in 0.0in 0.0in 0.0px;font-size:12.0pt;font-family:'Times New Roman', serif">Ability to multi task and prioritize </li> <li style="margin:0.0in 0.0in 0.0in 0.0px;font-size:12.0pt;font-family:'Times New Roman', serif">Flexibility (willingness to Change) – ability to adapt effectively to changing plans and priorities, and to be open and flexible when faced with changing circumstances.</li> <li style="margin:0.0in 0.0in 0.2pt 0.0px;font-size:12.0pt;font-family:'Times New Roman', serif">Presentation, MIS reports development skills</li> <li style="margin:0.0in 0.0in 0.0in 0.0px;font-size:12.0pt;font-family:Arial, sans-serif;color:black">Acts proactively to increase efficiency</li> </ul> </td> <td style="width:174.15pt;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" valign="top"> <ul style="list-style-type:square;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">Knowledge of advanced excel is desirable, Tech Savvy </li> <li style="margin:0.0in 0.0in 0.0in 0.0px;font-size:12.0pt;font-family:'Times New Roman', serif">Good to have Power-Bi knowledge. </li> <li style="margin:0.0in 0.0in 0.0in 0.0px;font-size:12.0pt;font-family:'Times New Roman', serif">Detail-minded; be able to ensure data completeness and accuracy</li> <li style="margin:0.0in 0.0in 0.0in 0.0px;font-size:12.0pt;font-family:'Times New Roman', serif">Experience in the Securities or Financial services industry</li> </ul> </td> </tr> <tr style="height:79.05pt"> <td style="width:101.5pt;border:solid windowtext 1.0pt;border-top:none;background-color:#d9d9d9;padding:0.0in 5.4pt 0.0in 5.4pt"> Interpersonal </td> <td style="width:191.9pt;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"> <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 excellent communication and IT skills (Word, Excel, PowerPoint). </li> <li style="margin:0.0in 0.0in 0.0in 0.0px;font-size:12.0pt;font-family:'Times New Roman', serif">Have strong attention to detail and produce accurate reports </li> <li style="margin:0.0in 0.0in 0.0in 0.0px;font-size:12.0pt;font-family:'Times New Roman', serif">Collaborates within and across teams, involving the right people</li> </ul> </td> <td style="width:174.15pt;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" valign="top"> <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">Critical thinking, Risk Management, Conflict Management</li> </ul> </td> </tr> </tbody> </table> <a name="_Hlk196140314"></a>Nomura Leadership Behaviours: <table class="MsoNormalTable" style="width:437.0pt;border-collapse:collapse" border="0" cellspacing="0" cellpadding="0"> <tbody> <tr style="height:31.0pt"> <td style="width:91.9pt;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:177.2pt;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:167.9pt;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:75.0pt"> <td style="width:91.9pt;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:177.2pt;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:167.9pt;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:62.5pt"> <td style="width:91.9pt;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:177.2pt;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:167.9pt;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:75.0pt"> <td style="width:91.9pt;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:177.2pt;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:167.9pt;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:75.0pt"> <td style="width:91.9pt;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:177.2pt;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:167.9pt;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:87.5pt"> <td style="width:91.9pt;border:solid windowtext 1.0pt;border-top:none;padding:0.0in 5.4pt 0.0in 5.4pt" nowrap="nowrap"> Inclusion </td> <td style="width:177.2pt;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:167.9pt;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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