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Working within the EMEA Financial Crime team which has responsibility for managing Nomura's Anti-Financial Crime activities including Anti Bribery and Corruption, Sanctions Compliance, Training, Enhanced Due Diligence etc.
Ensure the Firm's compliance with applicable Financial Crime legislation and regulations;
Actively promote and raise awareness of the Financial Crime function within the firm;
Identify and undertake reviews of PEP relationships as part of a remediation population and as they fall due;
Conduct appropriate enhanced due diligence on all existing PEPs, including screening PEPs against relevant sanctions, adverse media, PEP lists and internal surveillance systems to identify changes and escalate where appropriate;
Seek acknowledgements/approvals from relevant Front Office and Financial Crime Team management;
Work within the Financial Crime team to ensure policies remain up to date as well as implementing new policies and procedures as and when new legislation and/or regulations are enacted.
Provide advice and guidance to the wider business on all matters relating to AML Questionnaires and due diligence requests;
Collate information and provide timely responses to external due diligence questionnaires;
Maintain accurate questionnaire records;
Assist in the development of future tools to make the Nomura KYC information process more efficient and readily available;
Client Due Diligence
Work with senior management across Legal and Compliance and relevant business areas where relevant to assess potential reputational, regulatory or legal concerns;
Regularly attend courses and seminars to keep up to date with regulatory, market and product developments.
Provide timely and accurate management information to senior management and other stakeholders on PEPs, AML questionnaires and any other applicable Financial Crime risks and initiatives;
Work to continually improve management information in order to highlight potential financial crime risk including money laundering and bribery and corruption
Projects and Investigations
Participating, as applicable, in project initiatives and investigations that are primarily financial crime focused but which may also include the broader compliance area.
Skills, experience, qualifications and knowledge required:
Dedicated 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 within an integrated investment house.
Excellent interpersonal skills, with a strong personality, confident, highly motivated and organized, team player, but able to operate under their own initiative.
Familiarity with PC software applications: word processing / spreadsheets / databases
General understanding of PEPs and the risks associated
Ability to identify real issues and know when to escalate them
Ability to work to very short deadlines and make quick and reasoned decisions
Methodical person with attention to detail, together with strong administrative skills and an analytical approach to problem solving