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Job Title:Operations Analyst (Fixed Term Contract)
Risk & Compliance
Company overview
Nomura is a global financial services group with an integrated network spanning approximately 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Wealth Management, Investment Management, and Wholesale (Global Markets and Investment 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
Job Title: Operations Analyst
Corporate Title: Analyst
Division: AEJ Operations, IWM
Location: Singapore
Function Overview:
IWM Operations 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.
Client Services Group (CSG) - Primarily to work on executing KYC controls (including documentation and name screening) required for International Wealth Management (IWM) clients.
Responsibilities:
- This candidate either perform the on-boarding process or periodic review for Wealth Management clients, counterparties and other parties subject to rolling review
- Ability to perform hands on tasks related to KYC and documents - update system with relevant details, perform due diligence, validate and upload documents with at least 3 to 5 years experiences.
- Ensure client information and documents are validated / updated correctly and timely in the systems for seamless feed to other internal systems and reporting (Internal, regulatory etc.)
- Ensure client classification is applied in accordance with the prevailing rules and regulations in corresponding jurisdictions
- Continuously work with other stakeholders such as Compliance, Legal, Sales, Business Management on completing of KYC and client information updates
- Identify system / process enhancement focusing on controls and efficiency and work with the IT teams to implement
Requirements:
Technical Skills/ Competencies
- 2+ years experience in KYC as suggested by MAS and other major Asia regulators
- 2+ years experience working within financial services
- Ability to understand different risk types associated with Clients (Individuals, Private companies, corporation, etc.)
- Strong skills in documentation validation
- Flexible and be quick to adopt change in policies, systems and requirements
- Willing to work on ad-hoc tasks assigned by managers
- Has intermediate knowledge on MS Excel and MS PowerPoints
- Able to develop PowerBI reports / Alteryx will be a plus
Governance, Risk and Controls
- Relevant experience in compliance, risk management or operations with an investment bank or financial services firm for Wealth Management business
- Ability to work with minimal supervision, oversight and with cross region teams
- All KYC breaches, near misses or risk events will be managed and escalated where necessary.
- The individual will be required to deliver updates of KYC procedures, understand the policy and implement the operations changes and procedures required to meet the policy requirement
- Able to handle reasoning and justification on KYC matters to AML Compliance and Legal teams
- Accuracy, attention to details to avoid errors
Stakeholder management
- Fact based and ability to understand the risk involved and highlight the same across levels
- Detailed oriented in order to understand all requirements at one go
- Ability to handle front office’s queries
- Has experience in written and verbal communication with stakeholders in other functions
Nomura Leadership Behaviours
- Explore Insights & Vision: Identify the underlying causes of problems faced by you or your team and define a clear vision and direction for the future.
- Making Strategic Decisions: Evaluate all the options for resolving the problems and effectively prioritize actions or recommendations.
- Inspire Entrepreneurship in People: Inspire team members through effective communication of ideas and motivate them to actively enhance productivity.
- Elevate Organizational Capability: Engage proactively in professional development and enhance team productivity through the promotion of knowledge sharing.
- Inclusion: Respect DEI, foster a culture of inclusion and psychological safety in the workplace and cultivate a "Risk Culture" (Challenge, Escalate and Respect).
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.
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.
Nomura is an Equal Opportunity Employer