The Senior Manage and Certification Regime (SMCR) Function team is responsible for managing the Senior Manager & Certification Regime requirements across Nomura’s UK entities. The SMCR Function is part of a broader team including Corporate Compliance and Compliance Training.

The responsibilities of this role include:

• Running the end to end processes for the Certification regime, liaising with front office staff and staff in other corporate functions, including HR to enable the smooth running of the regime.

• Manage the Annual Re-certification process to ensure that all staff remain fit and proper

• Manage the process of undertaking updates to background screening on an ongoing basis

• Liaising directly with the business on a day-to-day basis to support the rapid Certification of recent staff and the ongoing management of background screening.

• Providing regulatory advice to the business on the Certification Regime

• Deliver Face to Face training all recent staff that will be subject to Certification on SMCR

• Perform quality assurance (QA)



activity on offshore activities to ensure consistent quality and timeliness of tasks completed

• Review and enhance onshore and offshore processes, policies and systems to ensure they are fully aligned and to highlight and support the implementation of control and process enhancements and efficiency gains.

• Collating, contributing and reviewing monthly management information

• Suggesting and helping with the implementation of enhancements and process remediation where required

• Undertaking weekly, monthly and quarterly reconciliations

• Working collaboratively with other areas of Compliance both within EMEA and Globally to ensure clarity and understanding of roles and responsibilities and consistency of approach

• Experience and ability to work with in house built systems, or vendor systems to support the above areas.

• Providing cover for the management oof the Senior Manager Regime, where required. This includes th

📌 Com Central Compliance Mumbai
🏢 Nomura Holdings
📍 Mumbai