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The AEJ Financial Crime Compliance team is responsible for all financial crime compliance matters in the region, which includes Singapore, Hong Kong, Taiwan, Malaysia, India, Indonesia, Korea and Australia. The primary role is to assist the Head of Financial Crime Compliance, Asia ex-Japan ("AEJ") and Senior Management in managing the financial crime risks of the firm and ensure the effective implementation of the financial crime regime in the Wholesale Division of Nomura, AEJ (which includes Global Markets and Investment Banking). The ambit of financial crime includes Anti-Money Laundering ("AML"), Counter-Financing of Terrorism ("CFT") and Anti-Bribery and Corruption ("ABC").
The Financial Crime Compliance Officer (VP) will be based in Nomura's Singapore office and reports to the Head of Financial Crime Compliance, AEJ.
The roles and responsibilities include the following:
Ensure that the AEJ Wholesale business is in compliance with the applicable financial crime legislations, rules or regulations.
Liaise with regional or global compliance team members on financial crime-related matters including new legislations, rules or regulations.
Review and draft the AEJ AML Policy in line with legislations, rules and regulations
Review and analyse due diligence information on new and existing clients in accordance with the AEJ AML Policy.
Provide advice and guidance to relevant stakeholders on financial crime-related queries, including AEJ KYC teams and the Wholesale business divisions.
Deliver appropriate training and communication on financial crime issues.
Conduct enhanced due diligence and liaise with external investigative firms on investigation reports where appropriate.
Review and approve politically-exposed persons or high risk accounts.
Review challenging account opening or onboarding issues and to make appropriate recommendations to the Head of Financial Crime Compliance, AEJ, or Senior Management, whether to onboard a client or maintain an existing relationship.
Ensure that suitable recommendations and appropriate controls are put in place in circumstances where there are higher financial crime or reputational risks.
Conduct quality assurance and sample testing on client accounts.
Review any suspicious activities or transactions.
Liaise with audit and regulators on any financial crime-related issues.
Participate in regional or global projects or initiatives as required as a result of change in legal or regulatory requirements and/or expectations.
Preferred Experience and Skillsets
The incumbent should ideally possess the following mandatory qualities and experience:
6-10 years of AML/CFT experience
An existing financial crime professional in a reputable or established financial institution
Good understanding of financial crime legislations, rules or regulations in Singapore and preferably Asia Pacific
Detail-oriented with excellent organizational skills
Strong interpersonal skills and ability to communicate clearly and confidentially with internal stakeholders and external parties across all levels (both written & verbal)
Ability to directly address conflicts and escalate issues where appropriate
Strong professionalism and teamwork awareness, self-starter, proactive and able to adapt quickly
Strong Microsoft office skills (Word, Excel, PowerPoint)
Degree or equivalent
Strong analytical skills with an investigative mind-set with financial analysis background