COM-Business Compliance
MumbaiFull-time12–15 yrsPosted 1 week ago
Leadership legal role at Nomura in Mumbai. Needs 12–15 years and a degree.
About the role
Powai LCC broadly covers the areas of Legal, Compliance and Conduct, and is responsible for building a robust risk and control framework. The Powai LCC teams support Nomura Powai entities, as well as LCC teams globally to ensure effective risk management of Legal, Compliance and Conduct related risks for the firm.
What you'll do
- Risk & Compliance Oversight
- Monitor and report on divisional operational risk and audit incidents, working closely with teams to identify and address issues before they escalate
- Coordinate Vendor Risk Management activities, including self-assessments and ongoing monitoring to ensure third-party compliance
- Prepare and maintain Senior Management Function (SMF) documentation, including statements of responsibilities and regulatory submissions
- Support administering internal outsourcing governance meetings and ensure transition/outsourcing documentation is kept current
What you need
- Compliance
- Documentation
- MIS reporting
- Operational risk
- Regulatory affairs
- SOP writing
Good to have
- PowerPoint
- Power BI
- Data visualisation