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Job Title:KYC Specialist, Senior Client Services Manager
senior · Risk & Compliance
Company Overview
Nomura is a financial services group with an integrated global network. By connecting markets East & West, we service the needs of individuals, institutions, corporates and governments through our four business divisions: Wealth Management, Investment Management, Wholesale (Global Markets and Investment Banking) and Banking.
Driven by the insights of some 28,000 people worldwide, we put our clients at the center of everything we do, delivering unparalleled access to, from and within Asia. For further information about Nomura, visit www.nomura.com
Job Overview
This is a newly created role within the CAO office with a great opportunity to work with the other partners. The candidate will work closely with Front Office Sales team with regards to KYC account opening This role reports directly into Head of Business Management.
Responsibilities:
Key Job Responsibilities:
- The critical piece of KYC for wealth is validating the client profile/ Biography & Source of wealth which is provided by Sales.
- KYC associate will play a key critical role as subject matter expert and seek additional clarification from sales to ensure write up is complete & meets regulatory requirements
- Ability to perform hands on task related to KYC and account opening (Including working with sales on information and documents gathering),
- Liaison between front sales and Compliance/CDD team for onboarding of new clients and rolling review requirements
- Work with RMs on KYC requirements, at times meeting with prospects/clients where necessary
- Interacts extensively with FCC, Legal, Compliance, Operations & Risk units where required
Requirements:
- At least 8 - 10 years of relevant experience, experience in Private Banking is an absolute advantage
- Good understanding in Wealth Management products and relevant regulations
- Direct experience in client on-boarding, KYC of Wealth clients
- Ability to multi-task and work under pressure
- Excellent communication skills with good command of English and Mandarin
- Individuals should have good track record of team supervision
- Effective teamwork skills having the ability to interact, negotiate and communicate in location and across regional offices
- Candidate will have an excellent command of the English language, with strong written and verbal communication skills, and the ability to communicate effectively across all levels.
- Ability to fluently speak one of the SEA languages or Hindi is a plus. As this role will involve interaction with local relationship managers and clients
Diversity Statement
Nomura is committed to an employment policy of equal opportunities, and is fundamentally opposed to any less favorable treatment accorded to existing or potential members of staff on the grounds of race, creed, color, 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.