OPS-CS / KYC

Job Code: 14227

Country: IN

City: Mumbai

Skill Category: Operations

Description:

The Operations division provides the support and control infrastructure that enables the Firm to develop and deliver financial products throughout the world. Working with the Sales, Trading and Information Technology Divisions, Operations professionals are responsible for the management and execution of transactions in a manner which maximizes profitability and minimizes risk. Our division is responsible for the management and execution of millions of securities transactions on a daily basis. Our responsibilities include trade processing, confirmation, settlement, fails management, margin, asset servicing, risk management, reference data management and various other client services. In partnership with sales, trading, prime services, information technology and other teams from across the bank, we apply a continual focus on improving productivity and efficiency, while seeking new and innovative ways to support our clients' changing needs.

The KYC team in Powai is part of the CSG function and plays an extremely key role in the firm supporting AEJ, Japan, EMEA and US businesses with a current team size of 130+ team members which includes 8-10 Associates / Managers. The team supports KYC On-boarding & Rolling Reviews for low, medium and high-risk clients, including private clients. Along with KYC, the responsibility of the team is also to provide solution on the potential issues identified by the various stakeholders in the firm and provide a turnaround time to be able to resolve the issues associated to KYC. The team works with the business and acts as an AML/KYC governance enabling function ensuring that all relevant AML/ KYC risks and regulations are properly managed. The team also closely works with the regional partners on audit and data quality associated tasks. There are plans to expand Powai footprint and develop / leverage Powai capability by transitioning more activities over to the Powai KYC team.

Responsible for performing Client onboarding / Client Review functions

• Evaluating and Approving new customer account documentations and supporting information in order todetermine 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

• Strong understanding of AML and Client Onboarding regulations for India/AEJ

• Attention to detail and commitment to quality. Strong writing and verbal communication skills.

• Strong time management skills and ability to multi-task. Outstanding analytical and problem solving skills.

• Strong desire to learn each task and ensure completion in a timely manner

• Bachelor’s degree and expertise in CDD/AML

• 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.

Exploring Insights & Vision

Comprehensively analyse the nature

of the problems we face and set our

focus toward the future vision

• Gather Intelligence
• Create a vision
• Identify an issue

Making Strategic Decisions

Analyse options and feasibility to resolve issues, in making

judgments and recommendations

• Identify countermeasures
• Assess feasibility
• Make a judgment

Inspiring Entrepreneurship in People

Promotes the vision and goals to others in such a way that inspires commitment and independent contributions

• Influence
• Inspire
• Commit

Elevating Organizational Capacity

Maximize organizational productivity through leadership development and

engagement

• Have an ownership in own development
• Support other‘s growth
• Encourage organizational growth

Inclusion

Respect diverse perspectives and

promote psychological safety

and the creation of a risk culture

• Foster psychological
  safety
• Encourage the active
  participation of all talent
• Foster a risk culture

• Applying for this role does not amount to a job offer or create an obligation on Nomura to provide a job offer. The expression "Nomura" refers to Nomura Services India Private Limited together with its affiliates.