Powai Legal and Compliance broadly covers the areas of Legal, Compliance and is
responsible for building a robust risk and control framework. The Powai Legal
and Compliance teams support Nomura Powai entities, as well as Legal and
Compliance teams globally to ensure effective risk management of Legal,
Compliance for the firm. Powai 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. Powai Compliance comprises of functions such
as Core Compliance, Trade Surveillance, Electronic Communication Surveillance,
Financial Crime Monitoring, Control Room & Disclosure Monitoring and Employee
Compliance. The teams provide advisory and operations support to global /
regional Compliance teams driven by global / regional policies and regulatory
expectations.
Business Unit Overview:
The independent CAO function actively supports and advances Powai Legal and
Compliance's vision through several key initiatives. It designs and drive
strategic initiatives that align with and propel Powai Legal and Compliance's
goals. The team manages financial operations with precision and foresight,
ensuring optimal resource allocation and fiscal health. The team Implements and
maintains a robust administrative framework for both Powai and Offshore CAO
activities, with a solid focus on enhancing control and governance measures.
The team leads the globalization project by spearheading the transformation
journey thereby fostering a culture of innovation and continuous improvement
within the team, encouraging proactive problem-solving and creative solutions.