Job Description

Company overview
Nomura is a global financial services group with an integrated network spanning over 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Retail, Wholesale (Global Markets and Investment Banking), and Investment Management. Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought leadership. For further information about Nomura, visit www.nomura.com .

Aon\'s Benefit Index\xc2\xae, Nomura\'s benefits rank #1 amongst our competitors
Function overview
The Know Your Customer (KYC) Controls team has a regional exposure covering the controls against money laundering and terrorist financing for different entities of Nomura in the region. The requirements for compliance are conferred by regulations and guidelines in different countries.
Team - KYC (Wealth) - Primarily to work on wealth clients and the role can expand to Institutional clients in future

Role description

• Conduct client on-boarding or periodic review due diligence for Wealth Management clients, counterparties and other parties subject to KYC periodic review
• Perform hands on tasks related to KYC and document validations end to end covering check & validation, system update, documents upload, etc.
• Ensure client information and documents are validated / updated correctly and timely in the systems for seamless feed to other internal systems and reporting (Internal, regulatory etc.)
• Lead and guide the juniors in the team. Perform checker role.
• Engage and work with stakeholders such as Compliance, Legal, Sales, Business Management towards completion of a case
• Ensure proper reasoning and justification on KYC matters to FCC, Legal & Compliance teams
• Prepare MIS and facilitate meetings with stakeholders
• All KYC breaches, near misses or risk events will be managed and escalated where necessary.
• Ability to work with minimal supervision, oversight and with cross region teams
• Deliver updates of KYC procedures, understand the policy and implement the operations changes and procedures required to meet the policy requirement
• Identify system / process enhancement focusing on controls and efficiency and work with the IT teams to implement

Job Requirement:

• Degree in Banking/Business/Economics/Finance
• Minimum 7 years of relevant experience in KYC/Documentation Review and/or Risk & control function in wealth management/ private bank.
• Well versed with AML/KYC regulatory requirement in Wealth Management / Private Banking
• Familiar with the risk associated with various Clients (Individuals, Private companies, Corporation, Trust structures, etc.)
• Confident in managing and communicating with stakeholders of various levels
• Team player and willing to take on adhoc initiatives and projects
• Accuracy, attention to details to avoid errors
• Proficient technically and analytically
• Good knowledge and skills on MS Excel and MS PowerPoint
• Ability to read and understand Chinese is an advantage
• Experience in Avaloq system will be a plus

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 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.

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