Associate, Client Onboarding

Job Title:                     Client Onboarding

Corporate Title:           Associate

Division:                      International Wealth Management

Location:                     Hong Kong

SFID:                            9763

 

Nomura 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.

 

Function Overview:

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

 

 

Responsibilities:

• Direct support to RMs on KYC requirements for the purpose of client onboarding and rolling review, at times meeting with prospects/clients where necessary.
• Ensure relevant Compliance, KYC, Due Diligence, AML are abided by RMs.
• Leads & handle day-to-day business support & act as point of escalation for issues handling & inquiries from RMs in relation to client onboarding or rolling review matters.
• Liaison between front sales and Compliance/CDD team for client onboarding and rolling review requirements.
• Develop good knowledge on products and regulations, interpret new regulations alongside with compliance and recommend relevant process changes.
• Maintains & updates to IWM internal policy/forms/checklist to ensure relevancy & communicates updates on new or improvement on workflows.
• Support daily operations of BM, ensure service quality and consistency across front office.
• Participate in initiatives including major system upgrades, new products & regulatory related projects.
• Interacts extensively with FCC, Legal, Compliance, Operations & Risk units where required.

 

 

Requirements:

• At least 5-8 years of relevant experience, experience in Private Banking is an absolute advantage
• Good understanding in Wealth Management products and relevant regulations
• Direct experience in client on-boarding, KYC of Wealth clients
• Ability to multi-task and work under pressure
• Excellent communication skills with good command of English and Mandarin
• Effective teamwork skills having the ability to interact, negotiate and communicate in location and across regional offices