Control Office

• 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.

Position Specifications:

Role & Responsibilities:

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• We are seeking a dynamic individual to join the IWM Control Office (IWM CO) team, based in Powai.

• The individual will work closely and in partnership with the IWM CO team in AeJ.

• Performing controls testing and continuous monitoring of activities of IWM staff to ensure adherence to internal policies and regulatory requirements.

• The individual will assume day-to-day BAU responsibilities relating to Investment Suitability, Cross Border, Staff Licensing, Asset Transfer Review, Portfolio Call Report Review, etc. and will contribute to key projects that are critical from a regulatory perspective.

• Ownership of the Hierarchy Maintenance process across IWM. Performing review and analysis of Attestation commentaries and affirmation processes.

• Creating Management Packs, KRI Packs, Supervisory meeting packs and Scorecard.

• Driving Transition of Key tasks from the Regions and then perform those tasks in a BAU environment.

• Involved in User Acceptance Testing of IWM tools and systems.

• Audit and RCSA related monitoring.

• Help in producing issue summaries and reports for Regional teams.

• Assist the team in information requests from regulators and auditors as and when required.

• Basic understanding of wealth management business.

• Basic understanding of Operational Risk, Controls and Supervision domain

• Prior experience in Operational Risk Mgmt. (ORM), Ops Control, Product control, Operations would be an advantage.

• Conceptual understanding of Investment Banking and Financial markets

• Reporting and analysis – ability to review and understand new information sources and produce summaries of key information

• Good communication skills, both written and verbal

• Experience of working with a diverse stakeholder group across multiple Regions

• Ability to work under pressure to tight timelines.

• Good knowledge of Capital Market products (Equities, Fixed Income and FX), processes and corporate functions

• Ability to challenge processes with maturity and integrity

• Proficient in Cantonese and Mandarin

• Intermediate to advanced Microsoft skills (Excel, PowerPoint skills)

• Power BI skills

• VBA/Macro skills

• Python programming

• SQL skills

• Basic project management skills (project definition, planning, risk and issue identification, milestone tracking and summary reporting)

AI tools skillset

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).