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Analyst - Client Onboarding, Operations - Hong Kong
September 15, 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.
Operations Asia ex-Japan provides support to the Sales & Trading Front Office and ensures that business activities are carried out in an efficient, controlled, risk-free and timely manner. The Asia ex-Japan region has over 150 people based in Australia, China, Hong Kong, India, Indonesia, Korea, Malaysia, Singapore and Taiwan.
The Client Onboarding ("COB") team is the central point of contact for both established and new clients account inquiries. When a business opportunity is established, the COB analyst / associate should liaise directly with the client to ensure their account will be set up with complete functionality on the trading and other internal operational platforms. Additionally, COB represents the client's interests to internal counterparts including but not limited to Credit Risk, Operations and Legal. For Sales coverage, COB ensures any client issues are promptly surfaced, escalated, and resolved in a timely manner so that the business with the client is not hindered or interrupted.
This role requires very strong relationship management, organizational and communication skills in order to give a commercial impact on the process. In addition, knowledge about the Firm's products and services is essential to draw the client closer for potential opportunities of cross products trading.
Internally the COB team is also responsible for establishing and implementing procedures and controls related to account opening as well as identifying ways to streamline the process. The team constantly works to enhance current technology for effectively capturing and managing the information and reference data of clients.
Understanding of overall and specific risks within the process, controls available to mitigate such risks and open risks, in supporting the business. Ability to identify gaps / issues / outliers as they arise and escalate timely / seek help
Responsible for the on-boarding process of clients of different organizational types and locations
Liaising with the client, providing support and guidance throughout the documentation completion process to ensure quality and completeness
Coordinate with Sales and business CAO to prioritize account requests and communicate with internal stakeholders.
Provide onboarding status update to Sales teams, Business CAO and Client.
Advise clients and internal stakeholders on emerging issues, troubleshoot problems and collaborate for solutions
Work closely with internal stakeholders including Sales Support, Compliance, KYC Controls, Audit and Risk
Key contribution areas critical to success:
Flexibility and ability to work under high pressure
Multi-tasking skill in handling urgent and ad hoc requests
Time management with priority set
Detail oriented and strong awareness on cost and control
Outgoing personality with confidence when dealing with internal and external clients
A mindset of controls and a solid understanding of regulations and associated risks
Understanding of Compliance and Regulatory influences within the Client onboarding process
Key Experience & Skills
Minimum of 2 years of work experience in the banking industry
Degree in finance or economics is preferred
Equity and Fixed Income derivative products knowledge is preferred
Knowledge in the industry regulations is preferred e.g. Dodd Frank, EMIR and FATCA
Excellent communication skill in English or Cantonese and Mandarin
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.