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Associate - Business Manager - Surveillance - Hong Kong
May 5, 2018
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 practices disciplined entrepreneurship while building on a long tradition of serving clients with creative solutions and considered thought leadership.
To develop, implement and manage a robust Control Framework so as to administer the well-functioning of the Front office activities; whereby identified risks are contained and fulfil the regulatory requirements and internal operating procedures of the Bank.
Responsible for continuous monitoring of activities of Front line sales to ensure adherence to internal policies and regulatory requirements.
Conduct client investment suitability surveillance review and transaction monitoring
A good understanding of front to back processes, implement effective control measures and monitoring plans in strengthening our front sales risk management.
Facilitate on updating of dashboard and reporting of the monitoring results to management on a regular basis.
Be able to identify breaches of obligations / policies.
Pro-actively review for potential issues to enable prompt corrective actions to be taken.
SOP amendments based on observations / results of controls.
Conduct tailored & on demand review work.
Identify areas for improvement opportunities on workflows, procedures, and systems to better managed controls and overall client experience.
Constant sharing and educating Front office staff on control knowledge and common observations.
To provide training to sales staff.
To provide orientation training to new hires.
Be able to work independent with other support functions, Operations, Legal, Compliance, and Operational Risk Management.
Key Experience & Skills
At least 6 years working experience in Private Banking / Wealth Management.
Experience in audit, compliance, or operation risk is a plus.
Meticulous worker with a keen awareness on Control, Compliance and Operational risks functions.
Team player with excellent interpersonal skills and multicultural awareness and sensitivity.
Fluency in at least 2 languages, English and Cantonese or Putonghua will be advantageous as this role will require.
Regional Disclaimers / 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.