Divisional Overview:
NSIPL Legal & Compliance(L&C) broadly covers the areas of Legal, Compliance and Conduct, and is
responsible for building a robust risk and control framework. The NSIPL L&C teams support Nomura
NSIPL, as well as L&C teams globally to ensure effective risk management of Legal, Compliance and
Conduct related risks for the firm. NSIPL Legal comprises of the Corporate Legal and Transaction Legal
functions, which provide advice and support on corporate, employment and transactional matters. The
Offshore Legal team supports global teams on corporate and secretarial matters, Global Markets, and
Masters documentation related requirements. NSIPL Compliance comprises of functions such as Core
Compliance, Trade Surveillance, Electronic Communication Surveillance, Financial Crime Monitoring,
Control Room & Disclosure Monitoring and Central Compliance. The teams provide advisory and
operations support to global / regional Compliance teams driven by global / regional policies and
regulatory expectations.

Business Overview:
The Financial Crime Monitoring Team is part of Compliance department at Nomura and is responsible
for investigations of alerts that are generated in different surveillance systems, with the intent to combat
money laundering and terrorist financing. Nomura applies a risk-based approach to its fight against
financial crime, money laundering and terrorist financing, and has implemented complementary checks
and controls to manage financial crime related risks.
The Financial Crime Monitoring Team is responsible for identifying these risks, and for escalating the
same to respective regional / global Compliance teams for review and action.

Position Specifications:
Corporate Title: Analyst

Functional Title Asst. Manager

Experience 6-10 years of relevant experience in Suspicious Transaction monitoring for Wealth Management Business Qualification Graduate / Post-Graduate (ACAMS will be added advantage)

Role & Responsibilities:

▪Evaluation and Investigation of UHNI client transactions from money laundering perspective in Wealth Management Business
▪Drafting of suspicious activity report of clients undertaking suspicious transactions in the market enabling laundering of money or related activities
▪Periodic reviewing of existing trade monitoring typologies and setting internal benchmarks for alert generation
▪Performing effectiveness review of the applications and the alerts generated by it.
▪Review and verification of client SOF and its adequacy with respect to transaction done by client.
▪Ensure adherence to global and regional Financial Crime related policies and procedures.
▪Be a key point of contact with regards to providing advice to Senior Management and other relevant stakeholders on Financial Crime Related Matters.
▪Ensure effective and timely escalation of issues requiring management attention and review.
▪Work with regional stakeholders towards implementing best practices and minimum operating standards.
▪Review and advise on other financial crime related matters including Anti-bribery and Corruption (e.g., Gift and Entertainment escalations) and Sanctions.

▪Participate in regional or global projects or initiatives, as required, resulting from changes in legal or regulatory requirements and / or expectations and new business strategies.
▪Prepare and present MIS to senior management and key stakeholders.
▪Ensure quality deliverables as per standard operating procedures, in a timely manner.
▪Ensure strict adherence to the firm’s and process related guidelines.
▪Identify processing and operational risks proactively and formulate steps to mitigate the same.

Mandatory:

▪Basic understanding of Investment Banking business and the Financial Regulatory environment
▪Sound understanding of AML, KYC, Sanctions and Conflict of Interest related regulations, processes and functions.
▪Prior experience in the Securities or Financial services industry
▪Sound product knowledge of financial products
▪Good MS office skills, Presentation, MIS, Data Analysis, Project Management
▪Proven ability to think “outside the box” in case existing procedures do not specifically indicate a solution.
▪Excellent communication skills (Written and Oral) with experience in dealing with external stakeholders.
▪Eye for detail to proactively identify issues and breaches in order to mitigate potential risk

The firm is an equal opportunity employer, and we are committed to providing equal opportunities throughout employment including in the recruitment, training and development of employees. The firm and its affiliates 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.