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Job Location: Mumbai (All Areas)
Divisional Overview:
Powai Compliance broadly covers non-financial risk Compliance, Conduct and Operational Risk in order to increase convergence and build a more robust risk and control framework. This team supports Nomura Powai as well as global Compliance & Operational Risk teams to ensure effective risk management and plays an integral part in managing the compliance, conduct and Operational risk of the firm. Powai Compliance comprises of Core Compliance, Trade Monitoring, Electronic Communication Surveillance, Financial Crime Monitoring, Control Room and Employee Compliance. Powai Operational Risk comprises of the Core, Risk Analytics and Central framework teams to ensure embedding of the Non- Financial Risk framework across the firm. The teams work closely to provide advisory and controls solutions to global/regional teams via various strategic and operational interventions.
Business Unit Overview:
The Trade Monitoring & Surveillance team looks into the risk across markets by monitoring price/volume movement of the clients using surveillance applications which safeguard the firm against any reputational and/or financial risk.
Role & Responsibilities:
- Analyse risk across markets by monitoring price/volume movement in the securities using surveillance application to safeguard the firm against any reputational and/or financial risk.
- Should have an understanding of various financial products like Equities, Equity Derivatives, FX, Fixed Income and Forex
- Ensure that surveillance reviews are being performed properly from a qualitative and timeliness perspective.
- Review of surveillance exceptions with Regions, business personnel and middle office.
- Participate in periodic risk assessments. Identifying gaps within the process and implementing appropriate controls
- Independently lead and drive projects from a surveillance perspective
- Prepare MI reporting and ensure accurate & timely reporting to all stake holders
- Identify, facilitate and implement process improvement ideas to improve efficiency
Mind Set:
Mandatory
- Experience in the Securities or Financial services industry.
- Basic understanding of Investment Banking business and the Financial Regulatory environment.
- Good MS office skills
- Presentation, MIS reports development skills.
Desired
- Collaborates within and across teams, involving the right people
- Detail-minded; be able to ensure data completeness and accuracy
- Knowledge of Excel macro
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