Analyst / Associate - Financial Crime Compliance Officer - Hong Kong

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • Nomura Asia
  • 16 Oct 17 2017-10-16

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 (including Global Markets and Investment Banking) 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-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.

Job/Group 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 (including Global Markets
and Investment Banking) 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”).

Responsibilities

Financial Crime Compliance Officer will be based in Nomura’s Hong Kong office and reports to the VP of
Financial Crime Compliance, AEJ.
The roles and responsibilities include the following:

- Reviewing and analysing due diligence information on new and existing Wholesale clients in order to
meet all legal and regulatory requirements.
- Analyse challenging or high risk account opening situations and to make appropriate recommendations
to Senior Management whether to onboard a client or maintain an existing relationship and other
suitable recommendations as to appropriate controls to be put in place.
- Liaise with the salespersons and relevant stakeholders on account opening-related and KYC queries.
- Conduct enhanced due diligence and liaise with external investigative firms on investigation reports.
- Conduct quality assurance and sample testing on client accounts.
- Review any suspicious activities or transactions.
- Approve and sign off on client due diligence
- Participate in financial crime risk assessments.
- Review relevant gift and entertainment-related requests
- Liaise with audit and regulators on any financial crime-related issues.

Requirements

The incumbent should ideally possess the following qualities and experience:

- 1-4 years of related financial crime / KYC client onboarding experience
- Good understanding of relevant AML/CFT/laws and regulations.
- Ability to communicate clearly and confidentially; able to influence internal and external stakeholders
- Ability to directly address conflicts and escalate issues where appropriate
- Communicates well and across all levels, including senior management
- Good team player, proactive and able to adapt quickly.

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.