Divisional Overview: The Operations division provides the support and control infrastructure that enables the Firm to develop and deliver financial products throughout the world. Working with the Sales, Trading and Information Technology Divisions, Operations professionals are responsible for the management and execution of transactions in a manner which maximizes profitability and minimizes risk. Our division is responsible for the management and execution of millions of securities transactions on a daily basis. Our responsibilities include trade processing, confirmation, settlement, fails management, margin, asset servicing, risk management, reference data management and various other client services. In partnership with sales, trading, prime services, information technology and other teams from across the bank, we apply a continual focus on improving productivity and efficiency, while seeking new and innovative ways to support our clients' changing needs. Business Overview: The KYC team in Powai is part of the CSG function and plays an extremely key role in the firm supporting AEJ, Japan, EMEA and US businesses with a current team size of 130+ team members which includes 8-10 Associates / Managers. The team supports KYC On-boarding & Rolling Reviews for low, medium and high-risk clients, including private clients. Along with KYC, the responsibility of the team is also to provide solution on the potential issues identified by the various stakeholders in the firm and provide a turnaround time to be able to resolve the issues associated to KYC. The team works with the business and acts as an AML/KYC governance enabling function ensuring that all relevant AML/ KYC risks and regulations are properly managed. The team also closely works with the regional partners on audit and data quality associated tasks. There are plans to expand Powai footprint and develop / leverage Powai capability by transitioning more activities over to the Powai KYC team. 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"> Analyst </td> </tr> <tr style="height:12.55pt"> <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"> Analyst </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"> 1-3 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"> Graduate/MBA </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"> </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"> Responsible for performing Client onboarding / Client Review functions <ul style="margin-top:0.0in;margin-bottom:0.0in" type="disc"> <li style="margin-top:0.0in;margin-right:0.0in;margin-bottom:0.0in;font-size:12.0pt;font-family:'Times New Roman', serif">Evaluating and Approving new customer account documentations and supporting information in order to determine whether they satisfy the client on-boarding identification requirements as per Nomura policies and procedures </li> <li style="margin-top:0.0in;margin-right:0.0in;margin-bottom:0.0in;font-size:12.0pt;font-family:'Times New Roman', serif">Conduct the background screening on the Client name & other officials' names using tools such as World Check / DJX / Factiva.</li> <li style="margin-top:0.0in;margin-right:0.0in;margin-bottom:0.0in;font-size:12.0pt;font-family:'Times New Roman', serif">Interact with the front office/client integration to ensure that proper account documentation is obtained from the customer prior to approving client on boarding </li> </ul> <ul style="margin-top:0.0in;margin-bottom:0.0in" type="disc"> <li style="margin-top:0.0in;margin-right:0.0in;margin-bottom:0.0in;font-size:12.0pt;font-family:'Times New Roman', serif">Interface with and provide support to Client on-boarding, FCT and Compliance teams</li> <li style="margin-top:0.0in;margin-right:0.0in;margin-bottom:0.0in;font-size:12.0pt;font-family:'Times New Roman', serif">Reviews and Approvals of Static Data Amendments for existing customer accounts</li> </ul> <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">Conduct reviews of existing clients for status, data veracity and amendments, status, country of incorporation and assign appropriate risk classification</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:14.45pt"> <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 </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="line-height:106%;margin:0.0in 0.0in 0.0in 0.0px;font-size:12.0pt;font-family:'Times New Roman', serif">Strong understanding of AML and Client Onboarding regulations for India/AEJ </li> </ul> <ul style="margin-bottom:0.0in;margin-top:0.0px"> <li style="line-height:106%;margin:0.0in 0.0in 0.0in 0.0px;font-size:12.0pt;font-family:'Times New Roman', serif">Attention to detail and commitment to quality. Strong writing and verbal communication skills. </li> </ul> <ul style="margin-bottom:0.0in;margin-top:0.0px"> <li style="margin:0.0in 0.85pt 0.0in 0.0px;line-height:106%;font-size:12.0pt;font-family:'Times New Roman', serif">Strong time management skills and ability to multi-task. Outstanding analytical and problem solving skills. </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:Arial, sans-serif;color:black">Strong desire to learn each task and ensure completion in a timely manner </li> </ul> </td> </tr> <tr style="height:53.25pt"> <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"> 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"> </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="line-height:106%;margin:0.0in 0.0in 0.0in 0.0px;font-size:12.0pt;font-family:'Times New Roman', serif">Bachelor’s degree and expertise in CDD/AML </li> </ul> <ul style="margin-bottom:0.0in;margin-top:0.0px"> <li style="line-height:106%;margin:0.0in 0.0in 0.0in 0.0px;font-size:12.0pt;font-family:'Times New Roman', serif">Ability to think strategically, along with the business and compliance. Ability to work independently and perform complex AML surveillance reviews and investigations analysis. Experience in working with virtual teams is a plus.</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.

OPS-CS / KYC (Mumbai, IN) @ Nomura Holdings, inc.

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