Associate - Conduct Risk Officer - Legal

**Company overview**

Aon’s Benefit Index®, Nomura’s benefits **rank **#1 **amongst our competitors

**Role Overview**:
Conduct Risk Management is a critical function performed as an extension of the Compliance Division at Nomura, which is tasked with a responsibility to demonstrate the establishment of effective second line of defense function for the adherence with financial regulations. The Chief Conduct Officer serves as a key stakeholder at the relevant culture and conduct committees established to oversee the discharge of Nomura’s business and corporate functions through adherence with Nomura Group’s Founders Principles and the Nomura Code of Ethics.

**Role Description**:

- Facilitating and development of the Conduct risk Management Framework in the firm.
- Provide oversight of the conduct risk management framework and processes in firm.
- Engage with senior stakeholders and/or senior forums on measures to drive improvements to conduct risk management in accordance with Nomura’s Code of Conduct.
- Driving awareness of Conduct Risk Management through communications and working with key stakeholders in Business/ Corporate to develop positive conduct risk outcome as set out the framework. This includes monitoring and escalation of conduct issues, highlighting key conduct trends through metrics and feedback collected.
- Working with stakeholders to mitigate conduct risk. Oversight of the Division Conduct Review groups meetings to highlight behavioural issue or conduct trends.
- Escalating of conduct data and findings through the HR Compensation process for year end impact.

Monitoring of Conduct through MI production.
- Perform periodic assessment and evaluation on conduct MIs and working with Nomura’s shared services Powai team to improve, enhance and ensure quality of MIs.
- Ensuring integrity of MIs and timely distribution to stakeholders. Performing checks on data before reporting and distribution of MIs.
- Ensure that the MIs are distributed to the relevant parties, committees for their review and awareness.
- Regular review of KRIs used to monitor conduct to ensure their relevance and updated to reflect key trends.
- Presenting key themes and trends of KRIs at the forums and other committees
- Participate or partner with relevant senior stakeholders in organizing the relevant culture or conduct surveys, assessing responses and proposing measures in response to feedback received
- Organize and/or conduct the annual Corporate Ethics Day.
- Update Conduct Risk framework documents on a periodic basis to reflect any changes
- Regular update of the conduct trainings and presentations on conduct risk to interns/ new grads
- Administrator of the EthicsPoint MIS system
- Regular communication with cross regional conduct risk teams to ensure alignment of conduct process and working in conjunction to remediate and improve conduct risk.

**Diversity Statement**

Nomura is committed to an employment policy of equal opportunities, and is fundamentally opposed to any less favourable treatment accorded to existing or potential members of staff on the grounds of race, creed, colour, nationality, disability, marital status, pregnancy, gender or sexual orientation. DISCLAIMER: This Job Description is for reference only, and whilst this is intended to be an accurate reflection of the current job, it is not necessarily an exhaustive list of all responsibilities, duties, skills, efforts, requirements or working conditions associated with the job. The management reserves the right to revise the job and may, at his or her discretion, assign or reassign duties and responsibilities to this job at any time.
- Nomura is an Equal Opportunity Employer**TSID: 1223612