Powai LCC broadly covers the areas of Legal, Compliance and Conduct, and is responsible for building a robust risk and control framework. The Powai LCC teams support Nomura Powai entities, as well as LCC teams globally to ensure effective risk management of Legal, Compliance and Conduct related risks 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 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 robust 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.