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Ensure the Firm's compliance with applicable Financial Crime legislation and regulations and internal policies;
Actively promote and raise awareness of the Financial Crime function within the firm;
Provide advice and guidance to front office, the Client Due Diligence (CDD) teams and wider Operations function on Financial Crime matters;
Assess the need for process/procedural changes and assist in the implementation of new policies and procedures as appropriate.
Review of high risk and high focus client files produced by Nomura CDD teams (covering both new and existing clients) to ensure accurate and consistent application of Client Identification Programme and associated policies;
Provide high risk and high focus client summaries to the MLRO and FCT management team detailing all risk factors identified and mitigated to allow for assessment and approval;
Completion of Quality Assurance process for low and medium risk client files produced by Nomura CDD teams to ensure Client Identification Programme standards are applied to all new and existing clients;
Ensure relevant escalations are delivered to the MLRO where relevant reputational or regulatory concerns have been identified;
Deliver feedback to the CDD regional teams regarding performance and identify training needs.
Client Due Diligence
Support the regional CDD teams to ensure financial crime red flags are identified and mitigated or escalated as appropriate;
Review clients which have been identified as being politically exposed, perform appropriate due diligence and seek relevant business management approval as appropriate;
Undertake reviews of new and existing PEPs.
Conduct Enhanced Due Diligence on high risk clients and situations;Training
Provide guidance and coaching to the CDD teams where appropriate;
Regularly attend courses and seminars to keep up to date with regulatory, market and product developments.
Participate in the delivery of financial crime training across the firm.
Production of Management Information and regular reporting to the MLRO to reflect Quality Assurance completion rates and performance against agreed success criteria
Proactive participation in and, where appropriate, leading project initiatives that are Financial Crime focussed.
Skills, experience, qualifications and knowledge required
Financial Crime/AML experience preferably within an investment banking/capital markets environment or at an exchange or regulator
Good knowledge of Legal, regulatory and internal control requirements relating to the Financial Crime function
Strong time management, organizational, planning and follow-up skills; ability to multi-task effectively
Strong interpersonal and verbal communications skills;
Methodical with excellent attention to detail and analytical approach to problem solving.
Familiarity with PC software applications: Word / Excel