Vice President - AML Monitoring FCC Officer - Compliance

Company Overview:

Nomura is a Global 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 four business divisions: Retail, Asset Management, Wholesale (Global Markets and Investment Banking) and Merchant Banking. 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

Department Overview:

Nomura operates in a complex regulatory environment and the role of Compliance is to ensure that the Firm operates in accordance with the applicable laws and regulations of the exchanges and regulators. The Financial Crime Compliance (FCC) department plays a crucial role in safeguarding the firm against financial crime risks such as money laundering (ML) / terrorist financing (TF) / proliferation financing (PF), sanctions, bribery and corruption through robust monitoring and screening programs. The department works closely with business units across Global Markets, Wealth Management and Investment Banking to implement and maintain effective controls and foster a strong compliance culture.

Role Overview:

The role will have a direct reporting line to the Head of AML Monitoring Team, who will have a comprehensive oversight of all monitoring and screening activities across the Nomura AEJ region which includes three key control pillars of AML Monitoring – Name Screening, Transaction Monitoring and Payment Filtering.

Role Description:

• Perform level 2 transaction monitoring and payment filtering alert reviews and escalate potentially suspicious or prohibited or activities to FCC Advisory / MLROs
• Maintain proper list management in name screening and payment filtering systems
• Support and manage AML Monitoring systems, working with key stakeholders from Operations and Technology to ensure they are operating effectively including performing data quality and completeness reviews, regular tuning on parameters/thresholds, in line with regulatory requirements
• Support and maintain appropriate AML Monitoring related guidelines and procedures
• Support MLROs and other relevant stakeholders to manage audit and regulatory inquiries
• Prepare regular management reporting on AML Monitoring related metrics
• Contribute to ad-hoc change management projects and initiatives

Skills, experience, qualifications, and knowledge required:

• Degree in Finance, Business, Technology or related field
• Minimum 10 years of experience in financial services in AML Monitoring related roles
• Proven experience in managing and utilizing enterprise-level AML monitoring systems
• Good understanding of AML regulations and monitoring requirements in Asia, including global sanctions programs
• Good understanding of Global Markets and Wealth Management businesses
• CAMS certification, additional certifications (CFE, CGSS)
• Good stakeholder management and communication skills
• Disciplined and self-motivated, able to work independently and under pressure
• Proficient in data analytics and machine learning applications in AML, will be an added advantage

Nomura Competencies

Explore Insights & Vision

• Identify the underlying causes of problems faced by you or your team and define a clear vision and direction for the future.

Making Strategic Decisions

• Evaluate all the options for resolving the problems and effectively prioritize actions or recommendations.

Inspire Entrepreneurship in People

• Inspire team members through effective communication of ideas and motivate them to actively enhance productivity.

Elevate Organizational Capability

• Engage proactively in professional development and enhance team productivity through the promotion of knowledge sharing.

Inclusion

• Respect DEI, foster a culture of psychological safety in the workplace and cultivate a "Risk Culture" (Challenge, Escalate and Respect).

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.

DISCLAIMER: This Job Description is for reference only, and whilst this is intended to be an accurate reflection of the current job, it is not necessarily an exhaustive list of all responsibilities, duties, skills, efforts, requirements or working conditions associated with the job. The management reserves the right to revise the job and may, at his or her discretion, assign or reassign duties and responsibilities to this job at any time.

Nomura is an Equal Opportunity Employer