Associate - KYC - Operations - Hong Kong

  • Competitive
  • Hong Kong
  • CDI, Plein-temps
  • Nomura Asia
  • 06 nov. 17 2017-11-06

You will be tasked to perform KYC on new and existing clients according to internal KYC/AML requirements and regulatory requirements. Perform due diligence on Global Markets, Prime Brokerage and Investment Banking clients. Responsible for internal and external audit coordination.

Nomura Overview

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 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. For further information about Nomura, visit www.nomura.com.

Responsibilities

• Perform KYC on new and existing clients according to internal KYC/AML requirements and regulatory requirements
• Perform due diligence on Global Markets, Prime Brokerage and Investment Banking clients
• Provide guidance and advice to the KYC analyst to complete the KYC
• Quality check KYC performed by the KYC analyst
• Liaise with Compliance on final KYC approval
• Work closely with Client Onboarding Team, Sales Desk and Compliance to resolve issues
• Build and maintain relationships with key stakeholders
• Provide regional support for queries and escalation from Business and stakeholders
• Manage MI to ensure data integrity and timely delivery of MI reports
• Assist the KYC manager to manage the KYC analysts and the daily prioritization
• Assist the KYC manager on the ad-hoc projects from management and business
• Assist the Rolling Review team to perform review on existing clients
• Responsible for internal and external audit coordination

Requirements

• At 5 years + of KYC experience in an investment bank or a financial service firm
• Strong subject matter expertise in AML/KYC
• Strong MI and project handling skills
• Good understanding of Global Markets and product knowledge
• Excellent communication, analytical and problem solving skills
• Excellent conflict handling and negotiation skills
• Good at multi-tasking and project management
• Able to work under pressure with minimum oversight
• Able to provide tactical and strategic solutions to issues
• Competent in Microsoft Word, Excel and Powerpoint

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.