Job Title: IB - Risk & Control COO

Country: In

City: Mumbai

Skill Category: Investment Banking

Job Summary

This role is within the International IB Risk and Control Team. The role will be responsible for supporting the Head of IBCO, International in developing and operating the risk and control setting in Investment Banking across EMEA & AEJ regions. In particular:

- Support IB Supervisors in implementing and operating the IB Supervision Framework.
- Implement and maintain the IB Key Supervisory Controls (KSC).
- Perform banking controls as required, including KYC Salesforce control and Adverse News.
- Review Data Loss Prevention (DLP) alerts from a first-line perspective.
- Implement conduct risk frameworks in line with regional requirements.
- Investigate conduct events and incidents as required.
- Support Global / Wholesale reporting and MI as required.
- Manage the IB new joiner, transfer, and Supervisor processes, including associated training.
- Review and maintain the IB Conflicts Registers.
- Support the cross-border frameworks ranging from travel to Hong Kong (temporary licensing), Singapore travel and the FRC framework, UK cross-border interactions, and US 15a-6 requirements.
- Maintain a training and licensing requirements register / tool.
- Support the review and drafting of IBD Policies and Procedures and the IB Supervision Handbook.




- Coordinate with IT / Development teams to enhance and automate the supervision framework including, but not limited to, personal and compliance conflict-of-interest reporting, registrations, and supervision reports.
- Collate information from stakeholders and prepare meeting packs, MI, and minutes for IB governance forums and committees.
- Support the function in collating information and drafting responses to Audit, Compliance, and external reviews.
- Provide support to non-financial risk programs, including regulatory and business change globally, as required.

Skills, experience, qualifications and knowledge required
- Investment Banking
- Risk and Control Environment
- Stakeholder Engagement
- Project Management
- Interpersonal Skills
- Adaptability
- Organizational Skills
- Independent Judgment
- Written Communication

Position Specifications

Corporate Title : Associate

Functional Title : Associate

Experience : 4-5 years of relevant IB Supervision (Front Office Supervision) experience

Qualification : Preferred

- MBA or
- Chartered Accountant (CA) or
- Postgraduate or

Disclaimer: This job posting has been aggregated from external source. Role details, content, and availability are subject to change. Applicants are advised to confirm the latest information directly on the company website before applying.

📌 IB - Risk & Control COO (Mumbai)
🏢 Nomura
📍 Mumbai