Job Title: Associate, Client Onboarding
Job Title: Client Onboarding
Corporate Title: Associate
Division: International Wealth Management
Location: Hong Kong
SFID: 10388
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.
Department Overview
Nomura's International Wealth Management department offers unparalleled financial services and solutions to high-net-worth individuals and families globally. Our dedicated team of experts provides personalized advice and tailored strategies to help clients achieve their financial goals and preserve their wealth. With a comprehensive range of investment products and a commitment to exceptional client service, we are proud to be a trusted partner in navigating the complexities of the global financial landscape.
Role Description
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
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