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NCT - KYC Controls - Contract ending 31 March 2021 - Operations - Hong Kong
October 8, 2020
Nomura is an Asia-headquartered 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 four business divisions: Retail, Asset Management, Wholesale (Global Markets and Investment Banking) and Merchant Banking. Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought leadership. For further information about Nomura, visit www.nomura.com.
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.
This is a position with a great opportunity to work with the other partners in other locations. The candidate will be primarily responsible for the new to bank accounts (Prime, Global Markets and Investment Banking) for the Asia ex Japan region.
Perform KYC Analysis in supporting the day-to-day compliance efforts with AML / KYC requirements including confirming that all new clients are complying with all AML / KYC policy requirements
Confirm client identities, source(s) of wealth and risk ranking that driving the client review and due diligence checking. Experience in dealing with Family Office is a plus
Conduct screening, set up and maintain records of status for each client
Provide regional support for queries and escalation from the Business plus aligned support groups working in conjunction with the regional Compliance and Client onboarding team
Build and maintain relationships with key stakeholders including Sales Desk, Compliance and Client Onboarding Team
Key Experience & Skills
2- 5 years' of relevant experience with an investment bank or financial services firm
Excellent problem-solving, analytical abilities, oral and written communication skills in both English and Chinese languages; and attention to details
Outstanding interpersonal skills and proven ability to manage staff and numerous projects simultaneously
Familiar with Traders and Sales processes an advantage
Ability to work with minimal supervision and oversight
Proficient with operating excel spreadsheets
Candidates must be able to read Chinese
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.