Job Title:  OPS-CSG / KYC

Nomura Overview:
Nomura is an Asia-based 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 three business divisions: Retail, Asset 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.
Nomura Services India, (Powai) supports Nomura’s businesses around the world. Powai’ s world class
capabilities in trading support, research, information technology, financial control, operations, risk
management and legal support have played a key role in facilitating Nomura’s global operations and are an
integral part of Nomura’s global expansion plans. The Powai operation is a critical part of the platform to
support the growth of Nomura’s global business.

Divisional Overview:
The Enterprise Data Management team in Powai supports all reference data activities for Counterparty,
Organization and Instruments. With a 24*5 support infrastructure in place, the scope of EDM support spans
over Asia, EMEA and US. No matter where you work within financial services, your job will have information at
its core and every job depends on ready access to accurate, reliable, timely and relevant data. The demand for
aligned and centralized financial data underlies every process within Securities and Investments firms. Indeed
regulatory acts such as MiFID, Sarbanes-Oxley, Basel II, the U.S. Patriot Act, U.K. Money Laundering and the
Security and Exchange Commission's Regulation NMS mandate financial institutions to maintain highly
accurate data.
Business Unit Overview:
Effective client identification is a key to mitigate the risk that financial organizations face in the form of money
laundering. Client Account Approval team(CAA) performs the due diligence for all the new clients of Nomura
Investment Bank and facilitates the client trading in various products and geographical locations.
CAA team is responsible to perform KYC checks according to the CIP(Client Identification Program) manual
which provides the guidance on the Anti-money laundering and financial sanction programs for Nomura. The
team helps to provide the firm with the necessary support to help prevent the use of Nomura’s facilities for
money laundering or terrorist financing, violating economic sanction laws and preventing the bribery of public
officials

Position Specifications:
Corporate Title Analyst Functional Title Assistant Manager Experience 5-7 years Qualification Graduate / MBA

Role & Responsibilities:

 Responsible for performing Client onboarding / Client Review functions • Evaluating and Approving new customer account documentations and supporting information in order to determine whether they satisfy the client on-boarding identification requirements as per Nomura policies and procedures • Conduct the background screening on the Client name & other officials' names using tools such as World Check / DJX / Factiva. • Interact with the front office/client integration to ensure that proper account documentation is obtained from the customer prior to approving client on boarding • Interface with and provide support to Client on-boarding, FCT and Compliance teams • Reviews and Approvals of Static Data Amendments for existing customer accounts • Conduct reviews of existing clients for status, data veracity and amendments, status, country of incorporation and assign appropriate risk classification

Key Skills:
Mandatory Desired Domain
Strong understanding of AML and Client Onboarding regulations for India/AEJ
Ability to think strategically, along with the business and compliance. Ability to work independently and perform complex AML surveillance reviews and investigations analysis. Experience in working with virtual teams is a plus
Strong time management skills and ability to multi-task. Outstanding analytical and problem solving skills.
Bachelor’s degree and expertise in CDD/AML
Attention to detail and commitment to quality. Strong writing and verbal communication skills.
Strong desire to learn each task and ensure completion in a timely manner.