Division Overview
Powai L&C; in NSIPL broadly covers the areas of Legal and Compliance is responsible for building a robust risk and control framework in Nomura. 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 Central Compliance, Control Room & Disclosure, Trade and Communication Surveillance, Core Compliance & Compliance Testing, and Financial Crime Compliance. The teams provide advisory and operations support to global Compliance teams driven by global / regional policies and regulatory expectations.

Business Overview
Powai FCC Testing is part of the Core Compliance & Compliance Testing team. Powai FCC Testing works closely with the regional FCC team in Asia-ex Japan (AEJ) to execute risk-based testing/assurance work linked to FCC-related risks and controls,



based on Nomura Global Minimum Standards on Compliance Testing.

Role & Responsibilities
The position reports directly to the Head of Powai Core Compliance & Compliance Testing, based in Powai, with a matrix reporting line to the Head of Governance & Planning, AEJ FCC based in Singapore.

Key responsibilities include:

Compliance Testing & Assurance

Support the development and update to the annual Compliance Testing/Assurance Plan (CTAP) using a risk-based approach aligned to the Compliance Risk Assessment (CRA)
Conduct periodic compliance testing & assurance to evaluate design and operational effectiveness of controls owned and/or operated by Business, FCC and other Corporate Functions, and verify adherence to procedures, policies, and regulatory requirements
Prepare detailed reports on testing results, findings, and recommendations with appropriate issue ratings based on risk impact and severity
Mainta

📌 COM-Central Compliance (Mumbai)
🏢 Nomura Holdings
📍 Mumbai