Analyst - Wealth Management - Business Manager - Hong Kong

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • Nomura Asia
  • 23 May 19

•Support for quality review on KYC write up for Sales •Work with RM on KYC requirements, at times meeting with prospects/clients where necessary •Ensure relevant Compliance, KYC, Due Diligence, AML are abided by sales

Nomura Overview  

Nomura is an Asia-based financial services group with an integrated global network spanning over 30 countries. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Retail, Asset Management, and Wholesale (Global Markets and Investment Banking). Founded in 1925, the firm practices disciplined entrepreneurship while building on a long tradition of serving clients with creative solutions and considered thought leadership.

Functional Overview  

Support the business in all aspects of business management including division policies and regulative requirements of Wealth Management Division (WMD) regionally, and coordination of requirements with corporate functions like Risk & Credit Management, Operations, IT and Legal and Compliance.

Job Description  

Responsibilities

  • 1st Line handling all client on boarding related work including new account opening, periodic review and remediation projects
  • Support for quality review on KYC write up for Sales
  • Work with RM on KYC requirements, at times meeting with prospects/clients where necessary
  • Ensure relevant Compliance, KYC, Due Diligence, AML are abided by sales
    • Identify opportunities for process efficiency & streamlining existing workflow where appropriate
    • Implement controls to ensure rules and policies are adhered to within the department
    • Develop good knowledge on products and regulations, interpret new regulations alongside with compliance and recommend relevant process changes
    • Interacts extensively with Sales, FCC, Operations (CDD), Legal & Compliance unit
    • Support daily operations of BM, ensure service quality and consistency across front office

Key Experience & Skills  

Requirements

  • 2-3 years of relevant experience, experience in Client On-boarding Private Banking is an absolute advantage
  • Good understanding in Wealth Management products and services as well as relevant regulations
  • 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 locate and across regional offices

Regional Disclaimers / Diversity Statement  

Nomura is committed to an employment policy of equal opportunities, and is fundamentally opposed to any less favourable treatment accorded to existing or potential members of staff on the grounds of race, creed, colour, nationality, disability, marital status, pregnancy, gender or sexual orientation.