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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.
The KYC Controls team has a regional exposure covering the controls against money laundering and terrorist financing for different entities of Nomura in the region. The requirements for compliance are conferred by regulations and guidelines in different countries.
Team - KYC (Wealth) - Primarily to work on wealth clients and the role can expand to Institutional clients in future
Ensure all new client relationships have undergone the appropriate client identification screening (KYC) prior to opening a new account and entering into trading and loan transactions
All existing clients KYC is refreshed on periodic basis and necessary escalation is performed
Ability to perform hands on task related to KYC and documents, update system with relevant details, perform checks, validate & upload documents, manage pipeline for KYC rolling review- KYC refresh
Ensure client information and documents are validated & updated correctly on the systems for seamless feed to other internal systems and reporting (Internal, regulatory etc.)
Ensure client classification is applied in accordance with the prevailing rules and regulations in Hong Kong and Singapore.
Continuously work with AML Compliance, Legal, Sales support on completing KYC and client information updates
Identify system enhancement focusing on controls and efficiency and work with the IT teams to implement
Face Internal & external Auditors and have good understanding of process to provide process walkthrough and samples
Key Experience & Skills
Excellent command of the English language, with strong written and verbal communication skills, and the ability to communicate effectively across all levels.
Ability to fluently speak Cantonese and mandarin is a must as this role will involve interaction with sales based in Hong Kong and Singapore.
Well versed with the KYC requirements as suggested by MAS and other major Asia regulators
Ability to understand different risk types associated with Clients (Individuals, Private companies, corporation)
Strong skills in documenting & storing exceptions and approvals
Flexible and quick to adopt change in policies, systems and requirements
Has intermediate knowledge on MS excel (Formulas, Pivot and V look ups) and MS Power points
Ability to validate FATCA and CRS forms is a plus
Governance, Risk and Controls
Relevant experience in compliance, risk management or operations with an investment bank or financial services firm for Wealth Management business
Ability to work with minimal supervision, oversight and with cross region teams
All KYC breaches, near misses or risk events will be managed and escalated where necessary.
The individual will be required to deliver updates of KYC procedures, understand the policy and implement the operations changes and procedures required to meet the policy requirement
Able to handle reasoning and justification on KYC matters to AML Compliance and Legal teams
Accuracy, attention to details to avoid errors
Fact based and ability to understand the risk involved and highlights the same across levels
Detailed oriented in order to understand all requirements at one go
Managing Business stakeholders- Ability to handle business supervision teams and Sales. Need to have good negotiation skills to plan the pipeline and negotiate the timeline
Act as a single point of contact for Sales in Hong Kong and handle any prioritization discussions, escalations & prepare the action plan to closely work with teams in Singapore
Has experience in written and verbal communication with AML, Compliance, legal, Internal Audits
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.
Internal Number: 5645120
About Nomura Asia
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