IB - Risk & Control COO

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 www.nomura.com
 
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:

• M&A
• Equity Advisory & Private Placements
• Secondary Advisory, Debt Advisory
• Coverage / Sector Banking
• Debt Capital Markets
• Acquisition Leveraged Finance
• Debt Syndicate
• Structured Solutions (Risk Solutions Group, Insurance Solutions Group)
• Japanese Equity Syndicate (Equities & Equity Linked Bonds)

 

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:

• Support IB Supervisors in implementing and operating the IB Supervision Framework.
• Implement and maintain the IB Key Supervisory Controls (KSC).
• Perform banking controls as required, including KYC Salesforce control and Adverse News.
• Review Data Loss Prevention (DLP) alerts from a first-line perspective.
• Implement conduct risk frameworks in line with regional requirements.
• Investigate conduct events and incidents as required.
• Support Global / Wholesale reporting and MI as required.
• Manage the IB new joiner, transfer, and Supervisor processes, including associated training.
• Review and maintain the IB Conflicts Registers.
• 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.
• Maintain a training and licensing requirements register / tool.
• Support the review and drafting of IBD Policies and Procedures and the IB Supervision Handbook.
• 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.
• Collate information from stakeholders and prepare meeting packs, MI, and minutes for IB governance forums and committees.
• Support the function in collating information and drafting responses to Audit, Compliance, and external reviews.
• Provide support to non-financial risk programs, including regulatory and business change globally, as required.

Skills, experience, qualifications and knowledge required

 

• Strong experience in Investment Banking, with a solid understanding of the product spectrum and IB operations.
• Proven experience operating a risk and control environment within a large front-office business.
• Ability to engage with, and deliver to, stakeholders across the Investment Banking business.
• Ability to project-manage multiple department-wide projects and initiatives concurrently.
• Strong interpersonal skills, with the ability to operate at all levels of the business and across the Wholesale division.
• Ability to build and maintain a network of relevant stakeholders across Banking and Corporate functions.
• Adaptability to change, with the ability to build relationships and collaborate effectively.
• Organized, methodical approach to work, with the ability to present complex subjects in an accessible way.
• Strong, independent judgment with the confidence to constructively challenge senior front-office stakeholders while maintaining objectivity and a clear escalation mindset.
• Excellent written skills, with the ability to draft and review policies, procedures, handbooks, investigation findings, and governance MI to a high standard.
• Openness to leveraging emerging technologies, including AI and automation tools, to enhance the efficiency and effectiveness of supervisory controls, MI, and reporting. 

Position Specifications:

 

Corporate Title	Associate
Functional Title	Associate
Experience	4–5 years of relevant IB Supervision (Front Office Supervision) experience
Qualification	Preferred MBA or Chartered Accountant (CA) or Postgraduate or Lawyer/ Company Secretary

 

Nomura Core Competencies:

 

Competencies                                                                         Behavioural Indicators
Culture & Conduct Building Nomura’s Culture Diversity & Inclusion Professional Integrity Self-Awareness	Contributes to desired culture Sets positive example Aware of different values/styles Holds high standards of behaviour Aware of own strengths/weaknesses
Client-Centricity & Business Acumen Commerciality Client-Centricity Analytical Thinking & Problem Solving	Understands current market Anticipates client needs Pays attention to detail Sees problems, recommends solutions
Strategy & Innovation Strategic Thinking & Change Decision Making & Judgment Agility	Balances alternative views Knows when to decide/when to escalate Champions new ideas Is both disciplined and entrepreneurial Sees when to escalate
Leadership & Collaboration Managing Talent Recognizing and Motivating Supporting, Developing & Collaborating with others Managing Conflict	Thinks differently Balances alternative views Knows when/how to compromise Learns from experience Seeks to develop
Communication & Connectivity Articulation & Receptiveness Impact Connectivity	Assists in recruiting Gives credit Builds productive working relationships Provides constructive, timely and specific feedback
Communication & Influence Articulation and Receptiveness Impact Connectivity	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
Execution & Delivery Driving Performance Execution-Focus Planning & Organising Adaptability	Demonstrates accountability/commitment Takes on challenging assignments Executes priority actions on-time Keeps stakeholders updated Manages expectations Persists when confronted with resistance

 

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).