Provide AML, Sanctions, and ABC subject matter and policy expertise to directly support Nomura Americas AML Compliance Program.
Advise various lines of business, including Investment Banking and Institutional Sales, regarding AML, Sanctions, and ABC requirements.
Advise KYC Operations group on policies and applicable laws and regulations, including beneficial ownership/CDD, and PEP relationships.
Assist with preparation, coordination, and execution of the Firm's AML, Sanctions, and ABC risk assessments.
Assess materiality of adverse information referrals and surveillance alerts.
Evaluate customer due diligence reports, and manage enhanced due diligence process.
Keep up to date on industry developments through regular participation in AML related forums and training.
Participate in global Compliance initiatives, working closely with counterparts in London, Singapore, and Tokyo.
Manage complex, long term AML, Sanctions, and ABC related projects.
Skills, experience, qualifications and knowledge required
Comprehensive understanding of the BSA/USA Patriot Act, OFAC sanctions, and FCPA.
5-7 years applicable experience (e.g., broker-dealer, regulator, or bank).
Practical broker dealer and capital markets knowledge.
Strong communication and presentations skills.
Ability to act decisively and independently in situations requiring quick analysis and decision making.
CAMS a plus.
Nomura is a leading financial services group and the preeminent Asian-based investment bank with worldwide reach. Nomura provides a broad range of innovative solutions tailored to the specific requirements of individual, institutional, corporate and government clients through an international network in over 30 countries. Based in Tokyo and with regional headquarters in Hong Kong, London, and New York, Nomura employs over 27,000 staff worldwide. Nomura's unique understanding of Asia enables the company to make a difference for clients through three business divisions: retail, asset management, and wholesale (global markets and investment banking).
Regional Disclaimers / Diversity Statement
Nomura is an Equal Opportunity Employer
Internal Number: 5530508
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