KYC Analyst

Company overview

Nomura is a global financial services group with an integrated network spanning over 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Retail, Wholesale (Global Markets and Investment Banking), and Investment Management. 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.

Aon’s Benefit Index®, Nomura’s benefits rank #1 amongst our competitors

Department overview:

The KYC team is to complete reviews and risk assessments of the business’ customers, based on KYC/AML standards the firm has set. This team will take proactive measures to assist in minimizing deficiencies associated with regulatory and reputational risk.

They review from a regulatory and compliance perspective that all risks have been identified and escalated to the appropriate AML/Compliance teams.

Role Description:

The KYC Associate is primarily responsible for ensuring that all new/reopened client relationships have undergone the appropriate client identification screening as mandated by the firms KYC procedures prior to opening/reopening a client relationship. The KYC Associate works closely with its counterparts in our and other regions, especially the Client Onboarding Team, Financial Crimes, Compliance, Front Office and Global Reference Data team. The candidate must be detail oriented with the ability to multi task, prioritize work assignments, communicate effectively and complete assignments accurately and in a timely manner. Follow through skills and time management are critical elements of this position

The product coverage is:

·         Perform the required KYC screening in clients by documenting and corroborating the information obtained on the client as required by the KYC procedures utilizing a variety of independent research sources

·         Analyze client data, documentation and negative news in order to determine the client risk profile as established under the firms KYC procedures

·         Collaborate with the Client Onboarding Team and Financial Crimes team, locally and globally

·         Responsible for reviewing and ensuring the require AML/KYC Regulatory requirements are met (i.e. executed Patriot Act certification for all Foreign Banks, Section 312, MiFid (nice to have), etc..)

·         Liaise with Compliance on specific requirements and regulations arising under special circumstance

·         Perform Client Rolling Reviews

Key contribution areas critical to success:

·         Collaboration with global and local team members in other regions and leveraging their efforts.

·         Must be a team player

Skills, experience, qualifications and knowledge required

·         2-5 years KYC/AML experience

·         Knowledge of the US Regulations

·         Series 99 preferred

Desirable

·         Knowledge of the UK Regulations

·         ACAMS license

*base pay offered may vary depending on multiple individualized factors, including market location, corporate and functional title and duties, job-related knowledge and advanced degrees, skills, and experience. The total compensation package for this position may also include other elements, including a sign-on bonus, restricted stock units, and discretionary awards in addition to a full range of medical, financial, and/or other benefits (including 401(k) eligibility and various paid time off benefits, such as vacation, sick time, and parental leave), dependent on the position offered. Details of participation in these benefit plans will be provided if an employee receives an offer of employment.

If hired, employee will be in an “at-will position” and the Company reserves the right to modify base salary (as well as any other discretionary payment or compensation program) at any time, including for reasons related to individual performance, Company or individual department/team performance, and market factors”.

Nomura is an Equal Opportunity Employer