Lead Risk & Control Analyst

Nomura Overview

Nomura is a financial services group with an integrated global network. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its four business divisions: Wealth Management, Investment Management, Wholesale (Global Markets and Investment Banking), and 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 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 across four international regions.
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 Chief Information Office (CIO) function oversees group-wide technology and our data office. We're aligned to our key businesses across the group and operate enterprise-wide functions for risk management, governance and controls, supply chain and infrastructure. Our purpose is to support Nomura's business strategy and deliver consistent group-wide services based on common operating principles.

 

Business Overview

The CIO Chief Controls Office (CCO) supports the CIO function in setting and enforcing consistent implementation of a risk-based control framework, to manage all CIO owned level 1 risks within current risk appetite. The Lead Policies and Standards and Issues Management Specialist is a critical role responsible for managing and enhancing the CIO Issues Management and Policies and Standards lifecycle processes. This position serves as a subject matter expert supporting the Senior Principal Risk Management Specialist in monitoring adherence with Group policies and standards lifecycle, issue management activities, and ensuring robust governance and reporting across both domains. 

 

What We Offer

• We support employee wellbeing by ensuring a sense of purpose and belonging. 
• 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. 
• Our bespoke benefits support employees and their family's holistic wellbeing and are inclusive of diverse identities and family structures

 

Role & Responsibilities

• Policies and Standards: Facilitate document review cycles and ensure timely updates due to trigger events (e.g. risk events, regulatory changes, etc.) 
• Manage document updates and approvals through appropriate governance forums, maintaining robust document version control on all changes 
• Manage and track impact assessments for any material changes to the policies and standards 
• Identify opportunities to streamline and enhance policy and issue management processes 
• Issue Management: Monitor issue aging and escalate overdue or high-risk issues appropriately 
• Conduct quality reviews of issue documentation to monitor issue capture is aligned with lifecycle requirements 
• Produce comprehensive monthly governance reports and analyze issue management trends for senior management and Board-level committees 
• Develop and maintain supporting procedures, work instructions, and process guides 
• Stakeholder Management: Gather stakeholder feedback and incorporate improvements to current processes 
• Serve as the primary point of contact for policies & standards and issues management queries 

 

Mandatory Skill Set :

• Experience in risk management, compliance, policy management, or operational risk in a financial services context 
• Proven track record of establishing or improving policy governance or issue management programs 
• Relevant risk management and control experience within Investment Banking, Audit, a consulting firm or related industry 
• Experience operating in a regulated environment 
• Experience managing stakeholders across the Three Lines of Defence; good communication skills with strong attention to detail 

 

Desired Skill Set :

• Familiarity with cyber security, resilience and related domains 
• Acts as a catalyst for change and inspires confidence in stakeholders 
• Contributes to a culture of continuous business process improvement 

 

Domain :

• Policy & standards lifecycle management 
• Issue management (identification to closure) 
• Risk management frameworks 
• Three Lines of Defence governance 

 

Technical :

• Information Technology (IT) 
• Information Security (IS) 
• Data Management 
• Technology understanding relevant to the CIO risk agenda 

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.