Analyst/Associate, Financial Crime - Compliance - Hong Kong

  • Competitive
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Nomura Asia
  • 10 Jul 18 2018-07-10

The AEJ Financial Crime Compliance team is responsible for all financial crime compliance matters in the region, which includes Singapore, Hong Kong, Taiwan, Malaysia, India, Indonesia, Korea and Australia. The primary role is to assist Senior Management in managing the financial crime risks of the firm and ensure the effective implementation of the financial crime regime in the Wholesale Division of Nomura, Asia ex-Japan. The ambit of financial crime includes Anti-Money Laundering (“AML”), Counter-Financing of Terrorism (“CFT”) and Anti-Bribery and Corruption (“ABC”).

Nomura Overview  

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.

Functional Overview  

The AEJ Financial Crime Compliance team is responsible for all financial crime compliance matters in the region, which includes Singapore, Hong Kong, Taiwan, Malaysia, India, Indonesia, Korea and Australia. The primary role is to assist Senior Management in managing the financial crime risks of the firm and ensure the effective implementation of the financial crime regime in the Wholesale Division of Nomura, Asia ex-Japan. The ambit of financial crime includes Anti-Money Laundering (“AML”), Counter-Financing of Terrorism (“CFT”) and Anti-Bribery and Corruption (“ABC”).

Job description  

The roles and responsibilities include the following:

  • Act as an advisor to all staff on ABC and AML/CFT related matters;
  • Assist with the development and implementation of the AEJ compliance program, policies and controls relating to ABC, gifts & entertainment (“G&E”) and other benefits relating to external parties consistent with relevant ABC legislations and laws;
  • Review G&E requests relating to corporate events/sponsorships and cases with higher risk factors;
  • Perform periodic in depth review, monitoring and reconciliation of G&E requests/expenses statistics and trend analysis;
  • Perform periodic reviews on the G&E approvers and employee access and liaise with G&E IT team and relevant stakeholders where necessary;
  • Manage the G&E system and liaise with the relevant stakeholders for issues or enhancements;
  • Conduct ABC risk assessment;
  • Liaise with the salespersons and relevant stakeholders on advisory deals and AML/KYC queries and requests;
  • Review and analyse due diligence information on new and existing clients in order to meet all legal and regulatory requirements;
  • Conduct enhanced due diligence and liaise with external investigative firms on investigation reports;
  • Work on special projects and targeted reviews in relation to ABC and AML/CFT as needed. 

Key Experience & Skills  

The incumbent should ideally possess the following mandatory qualities and experience:

  • 3-5 years of compliance, legal, audit or regulatory experience with knowledge of financial services/banking industry
  • Understanding of relevant ABC and Asia Pacific AML/CFT laws and regulations
  • Detail-oriented with excellent organizational skills
  • Strong interpersonal skills, ability to communicate clearly and confidentially; with internal stakeholders and external parties across all levels (both written & verbal)
  • Ability to directly address conflicts and escalate issues where appropriate
  • Strong professionalism and teamwork awareness, self-starter, proactive and able to adapt quickly
  • Strong Microsoft office skills (Word, Excel, PowerPoint)

 

Preferred Requirements:

  • Degree or equivalent
  • Ideally an existing Financial Crime professional with a background and good knowledge of bribery and corruption laws and regulations
  • Strong analytical skills with an investigative mind-set with financial analysis background
  • Private and institutional banking exposures and understanding of the legal and compliance issues of complex banking organizations
  • ACAMS or other similar AML qualifications

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.