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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 on Investment Banking for the Asia ex Japan region.
Supervise a small team and provide support to the new to bank team lead
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
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 Technology
5- 8 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. Candidates must be able to read Chinese in order to perform Chinese name screening
Attention to detail
Outstanding interpersonal skills and proven ability to manage staff and numerous projects simultaneously
Understand the products, systems and customers of Global Markets, Prime and IBD
Familiar with Traders and Sales processes is an advantage
Familiar with KYC Checker role and with relevant experience is an advantage
Ability to work with minimal supervision and oversight
Proficient with operating excel spreadsheets and tools like Alteryx/ PowerBI is a plus
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.
DISCLAIMER: This Job Description is for reference only, and whilst this is intended to be an accurate reflection of the current job, it is not necessarily an exhaustive list of all responsibilities, duties, skills, efforts, requirements or working conditions associated with the job. The management reserves the right to revise the job and may, at his or her discretion, assign or reassign duties and responsibilities to this job at any time.
We regret to inform that only selected candidates will be notified.