Apply now »

Job Title:  Financial Crime AML Advisory (6 months Contract)

Job Code:  8725
Country:  GB
City:  London
Skill Category:  Compliance
Description: 

Company Overview

Nomura is a global financial services group with an integrated network spanning approximately 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Wealth Management, Investment Management, and Wholesale (Global Markets and Investment 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 www.nomura.com.

 

Department overview:

 

Working within the EMEA Financial Crime Team (“FCT”) which has responsibility for managing Nomura’s Financial Crime compliance programme, including Anti Money Laundering, Anti Bribery and Corruption, Sanctions Compliance, and Criminal Finances Act compliance. 

 

Role Description:

 

AML Advisory:

  • Work with the AML Advisory team to ensure all escalated client risk assessments are reviewed appropriately and in a timely manner
  • Provide financial crime advice and guidance to the business and management on AML matters
  • Provide dedicated advice and guidance to relevant operations teams with respect to customer due diligence requirements /policy interpretation.
  • Act as a central point for policy management for the AML Advisory team
  • Assist on risk assessments as required

 

Enhanced Due Diligence:

  • Perform EDD research utilising multiple sources such as World-Check, Dow Jones, Factiva and Google and compiling findings into a report that provides a summary for dissemination to the business, management and senior management;
  • Maintain effective record keeping of all EDD requests;
  • Assist in the preparation of papers for the Reputational Risk, Suitability and Conflicts Committee representing findings by the Financial Crime Team and external providers;
  • Review clients which have been identified as being politically exposed or family offices, perform appropriate due diligence and seek relevant approval from business management and Compliance;
  • Work with senior management across Legal and Compliance and relevant business areas where relevant to assess potential reputational, regulatory or legal concerns.

 

General:

  • Ensure the Firm’s compliance with applicable Financial Crime legislation and regulations;
  • Actively promote and raise awareness of the Financial Crime function within the firm.
  • Assist with the day-to-day operations of the firm’s Financial Crime programme;

 

Key objectives critical to success:

  • Ability to perform in-depth but risk focused research that enables the firm to identify financial crime risks
  • Ability to identify real issues and know when to escalate them
  • Ability to work to very short deadlines and make quick and reasoned decisions

 

Skills, experience, qualifications and knowledge required:

Essential

  • Experience working in a similar role with responsibilities for client risk assessments
  • Experience in writing risk assessments and EDD reports or strong competence in writing and the ability to summarise key information.
  • Excellent knowledge of legal, regulatory and internal control requirements relating to the Financial Crime function within an integrated investment house.
  • Methodical with attention to detail, together with strong administrative skills and an analytical approach to problem solving
  • Familiarity with PC software applications: word processing / spreadsheets / databases
  • Working knowledge of due diligence tools including World-Check, Dow Jones, Factiva;

 

Nomura competencies

Trusted Partner

  • Understand clients’ needs and issues, and respond with high-quality proposals
  • Acquire capabilities to perform one’s responsibilities and contribute to being a Trusted Partner

Entrepreneurial leadership

  • Produce new ideas that might challenge the status-quo or oneself

Teamwork Collaboration

  • Seek advice from senior colleagues and utilize it for improved results
  • Collaborate with members from relevant departments

Influence

  • Contribute to the success of the organization both quantitatively and qualitatively, and act with awareness of the impact on others
  • Serve as role model and provide guidance to junior employees

Integrity

  • Have a good understanding of corporate philosophy, professional ethics, compliance, risk management, and code of conduct, and make decisions and take actions accordingly

 

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. If you require any assistance or reasonable adjustments due to a disability or long-term health condition, please do not hesitate to contact us.

 

Right to Work

The UK Government have taken steps to reduce net migration to the UK by limiting the number of overseas workers from outside the EEA coming to the UK for employment. Please note that whilst we are able to consider applications from overseas workers from outside the EEA (who require a Tier 2 (General) visa) we can only employ them if we can provide evidence that there are no other suitable candidates for this vacancy from inside the EEA.

Please contact us if you are visiting our offices and require any form of personal assistance or physical adaptations to be provided for your appointment.  A member of staff will be happy to help.

 

 

Nomura is an Equal Opportunity Employer

 

Apply now »