Nomura - Associate - IWM Control Office

Roles and Responsibilities:

- 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 regional IWM CO team and the local GM CO team.

- Perform control monitoring activities over IWM staff to ensure adherence to internal policies and regulatory requirements. Topics include Investment Suitability, Cross Border, Staff Licensing, Outgoing External Email Correspondence Review, Portfolio Call Report Review, Best Execution, etc.

- Perform reporting activities for FOS Attestation, KRIs, Scorecard, Management Packs, and Supervisory meeting packs.

- Support the IWM Hierarchy Maintenance process

- Participate in User Acceptance Testing of IWM tools and systems.

- Assist with information requests from regulators and auditors, as needed.

- Participate in ad hoc projects

Skills required:

- Basic understanding of Risk & Controls domain

- Prior experience in Risk & Controls, Quality Assurance, Operational Risk Mgmt. (ORM), Compliance or Audit

- Experience in Private Bank or Wealth Management is preferred

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

- Good communication skills, both written and verbal

- Intermediate to advanced Excel and PowerPoint skills (knowledge of VBA/Macros is a plus)

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

- Ability to work under pressure to tight timelines.