COM-Central Compliance Professional

The Financial Crime Monitoring Team is part of Compliance department at Nomura and is responsible for investigations of alerts that are generated in different surveillance systems, with the intent to combat money laundering and terrorist financing. Nomura applies a risk-based approach to its fight against financial crime, money laundering and terrorist financing, and has implemented complementary checks and controls to manage financial crime related risks.

The Financial Crime Monitoring Team is responsible for identifying these risks, and for escalating the same to respective regional / global Compliance teams for review and action.

Role Responsibilities:

• Ensure adherence to global and regional Financial Crime related policies and procedures.
• Be a key point of contact with regards to providing advice to Senior Management and other relevant stakeholders on Financial Crime Related Matters.
• Ensure effective and timely escalation of issues requiring management attention and review.
• Work with regional stakeholders towards implementing best practices and minimum operating standards.
• Review alerts generated against international sanctions (OFAC), politically exposed persons, and adverse media lists.
• Review and advise on other financial crime related matters including Anti-bribery and Corruption (e.g., Gift and Entertainment escalations) and Sanctions.
• Review any suspicious activities or transactions and assist the Money Laundering Reporting officer.
• Participate in regional or global projects or initiatives, as required, resulting from changes in legal or regulatory requirements and / or expectations and new business strategies.
• Assist the FCMT Team Lead in in liaising with stakeholders on relevant related Financial Crime matters.
• Ensure support for execution of senior management functional responsibilities, as applicable.
• Prepare and present MIS to senior management and key stakeholders.
• Ensure quality deliverables as per standard operating procedures, in a timely manner.
• Ensure strict adherence to the firm s and process related guidelines.
• Identify processing and operational risks proactively and formulate steps to mitigate the same.

Domain / Technical

• Basic understanding of Investment Banking business and the Financial Regulatory environment
• Sound understanding of AML, KYC, Sanctions and Conflict of Interest related regulations, processes and functions.
• Prior experience in the Securities or Financial services industry
• Sound product knowledge of financial products
• Good MS office skills, Presentation, MIS, Data Analysis, Project Management
• Proven ability to think outside the box in case existing procedures do not specifically indicate a solution.
• Excellent communication skills (Written and Oral) with experience in dealing with external stakeholders.
• Eye for detail to proactively identify issues and breaches in order to mitigate potential risk
• Compliance Background.
• Knowledge of advanced Excel functions / Excel macros
• Ability to multitask and handle high pressure situations.
• Flexibility (Openness to Change) - Adaptable to change, open and flexible when faced with changing circumstances and ambiguity.
• ACAMS/CAMI or any other AML relevant certification will be preferred.

Interpersonal

• Good interpersonal skills; high ethical standard; collaborative; detail oriented, willing to learn and adapt.
• Ability to identify issues and knowing when to escalate.
• Methodical and attention to detail
• Ability to demonstrate decisiveness and sound judgement on a consistent basis.
• Collaborates within and across teams, involving the right people
• Critical thinking,Conflict Management
• Self-starter and ability to multi-task under pressure and meet various deadlines