Case Study: Nomura Americas achieves scalable, automated compliance exception management with ServiceNow

Nomura Automates and Scales Compliance Exception Management Process

Nomura Americas, part of the Tokyo‑headquartered Nomura Group, faced rapidly expanding regulatory requirements that forced it to track every compliance exception and provide remediation evidence across many functions. Previously able to manage only major exceptions manually, the firm needed a scalable, auditable process to meet tighter rules and reduce regulatory risk.

Nomura configured a compliance exception app on its existing ServiceNow ITSM platform in three months, automating capture, prioritization, regulatory mapping, owner assignment, remediation planning and testing, notifications and approvals, and a complete audit trail. The automation delivered end‑to‑end traceability and stronger controls, faster responses to regulators, and has already been extended to support CFTC reporting and regional rollouts.

Nomura Americas

Helena Odendaal Uys

Vice President, Head of IT Compliance Programs