香港全职 - 在港外资！野村证券招Analyst, KYC Quality Assurance！

工作地点：

香港

职位描述：

Department Overview

Nomura's Operations department supports the company's business activities through efficient operational processes. The team collaborates with senior leadership, business units, and stakeholders to develop effective operational strategies, providing guidance on process design, implementation, and management to align operations with business objectives. Nomura's Operations team specializes in trade processing, settlement, custody, and asset servicing, known for providing exceptional service to clients. With a strong track record and commitment to innovation and global reach, Nomura's Operations department is well-positioned to continue driving growth and success in the financial industry.

Role Description:

Responsibilities

•    Primarily responsible for assisting team head in performing Quality control assessments of the Front to back onboarding lifecycle which includes Client On-boarding, KYC New to Bank and Rolling reviews) within AEJ Client Service group (CSG)

•    Oversee and provide necessary training and support/guidance to regional and extended team whilst ensuring performance and service levels are met 

•    Support in implementing the KYC related policies/guidelines based on the following approach

-    Identify the impact, Perform gap analysis and highlight required changes

-    Consult and agree on the process with relevant stakeholders such as Compliance, business etc

-    Operationalize the process smoothly within functions

•    Provide the SME feedback on other policies and procedures within the operations

•    Lead, co-ordinate and assist in any operations projects and management reporting for the region

•    Assist in handling any regulatory inquiries and request from auditors and other parties in relation to KYC related matters

Audit Management

•    To ensure preparedness for Audit exercise and perform remediation accordingly based on supervisory/audit recommendations and ensure regular reviews on the actions plans implemented.

Risk Management & Regulatory

•    Determine applicable Global and local regulations and ensure highest level of adherence. 

•    Root-cause analysis for operations incidents and near misses ensuring remediating actions avoid repeat of the same/similar issues from reoccurring

•    Support UAT testing for KYC AeJ operations 

•    Support self-assessments to ensure that team delivers the required evidence and remediation plans on a timely basis and validate that the evidence provided is accurate

•    Act as day-to-day contact person for other local functions

Governance

•    Facilitate applicable governance meetings such that materials, discussion points, decisions and actions are documented. 

•    Attend applicable internal governance meetings as necessary and any applicable actions. 

Reporting

•    Work with internal MI Business Manager, to implement reporting which facilitates improved cost discipline

•    Assist in the provision of regular and relevant reporting Management Information including daily, weekly and monthly management information;

•    Support the Team head in the:

-    Updating policies and procedures on a regular basis

-    Identification, tracking and monitoring of actions relevant to key control gaps and remediation

Skills, experience, qualifications and knowledge required:

Requirements:

•    3 to 4 years of relevant experience

•    Excellent team player with the ability to use own initiative and provide prompt and practical service to stakeholders

•    Knowledge of KYC and AML/CFT frameworks and previous experience with audit is a plus

•    Excellent time management and prioritization skills

•    Strong interpersonal and communication skills with the ability to communicate at all levels. Knowing when to speak up versus consulting first with others

•    Proficient understanding operations and compliance process including experience in performing risk assessment and project management

•    Knowledge of local and global regulatory requirements and industry standard around market related to KYC/AML & CFT

•    Experience in managing relationship with various stakeholders 

•    Ability to work collaboratively with other regional and global partners

•    Excellent report writing and analytical skills, problem solving skills, and able to manage multiple projects

•    Knowledge of Confluence, MS Excel and MS PowerPoint skills and other MS Office

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