全职 Operations Analyst (Fixed Term Contract) 工作, 薪水, Nomura 公司招聘中 - Ricebowl

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