Company overview
Nomura is an Asia-based financial services group with an integrated global network spanning over 30 countries. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Retail, Asset Management, and Wholesale (Global Markets and Investment Banking). 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®, Nomura’s benefits rank #1 amongst our competitors
Nomura's Operations department supports the company's business activities through efficient operational processes. The team collaborates with senior leadership, business units, and stakeholders to develop effective operational strategies, providing guidance on process design, implementation, and management to align operations with business objectives. Nomura's Operations team specializes in trade processing, settlement, custody, and asset servicing, known for providing exceptional service to clients. With a strong track record and commitment to innovation and global reach, Nomura's Operations department is well-positioned to continue driving growth and success in the financial industry.
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.
Role description
- Conduct name screening for client on-boarding or periodic review due diligence for Wealth Management clients, counterparties and other parties
- Ensure name screening alerts are handled according to Bank guidelines and procedures
- Ensure client information and documents are validated / updated correctly for name screening
- Ensure proper reasoning and justification on any escalations to FCC, Legal & Compliance teams
- Ability to work with minimal supervision, oversight and with cross region teams
- Flexible and be quick to adopt change in policies, systems and requirements
Job Requirement:
- Degree in Banking/Business/Economics/Finance
- Preferably with 1 to 2 years of relevant experience in KYC
- Knowledge of AML/KYC regulatory requirement in Wealth Management / Private Banking
- Team player and willing to take on adhoc initiatives and projects
- Accuracy, attention to details to avoid errors
- Proficient technically and analytically
- Good communication and interpersonal skills
- Good knowledge and skills on MS Excel and MS PowerPoint
- Ability to read and understand Chinese is an advantage
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
SFID: 5633
