Client Due Diligence Analyst FTC
Nomura · Singapore · 1d ago
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
Job Description
Job Title: Client Due Diligence Analyst FTC
Corporate Title: No Corporate Title
Division: Operations
Location: Singapore
Licensed Role: No
Function Overview:
IWM Operations executes regional anti-money laundering (AML), counter-terrorist financing (CTF) and anti-fraud controls across multiple Nomura entities in the region, ensuring compliance with regulatory requirements and guidelines across different jurisdictions.
You will be part of Client Services Group (CSG), a specialized function responsible for executing KYC controls, including documentation review, name screening, and client static data updates for International Wealth Management (IWM) clients and counterparties.
In this role, you will contribute to risk mitigation & process scalability initiatives, metrics-driven management, and exceptional client service delivery. You will gain hands-on experience with the team's automation and control enhancement projects, driving continuous process improvements. You will also partner cross-functionally with Front Office, Operations, Compliance and Legal teams to safeguard our clients and protect the Bank. As a CDD Specialist, you will model best practices in client service delivery and champion process innovation by challenging status quo, implementing risk-based approaches and driving meaningful change.
Responsibilities:
- Act as the key liaison and subject matter expert supporting IWM Front Office on Rolling and Event Triggered Reviews.
- Execute KYC related controls for Wealth Management clients and counterparties, including documentation review, name screening and static data updates, as part of the Periodic Reviews or Event Triggered Reviews process.
- Perform case management effectively, by closely monitoring case progress and collaborating with colleagues from Front Office, Financial Crime Compliance (FCC) and Business Management (BM) teams to assess client risk and implement risk-based approaches where appropriate.
- Ability to perform hands on tasks related to KYC and documents - update system with relevant details, perform due diligence, validate and upload documents with at least 3 to 5 years experiences.
- Ensure client information and documents are validated / updated correctly and timely in the systems for seamless feed to other internal systems and reporting (Internal, regulatory etc.)
- Perform updates of KYC procedures, understand the policy and implement the operations changes and procedures required to meet the policy requirement
- Identify system / process enhancement focusing on controls and efficiency and work with the IT teams to implement
Requirements:
- At least 2 years of relevant experience in Wealth Management KYC Operations or Compliance
- Well versed with the KYC/AML and regulatory requirements as suggested by MAS and other major Asia regulators
- Strong written and verbal communication skills, and the ability to communicate effectively across all levels.
- Ability to understand different risk types associated with Clients (Individuals, Private companies, corporation, etc.) and strong skills in documentation validation
- Ability to work independently with minimal supervision and thrive in virtual, collaborative team environments.
- Demonstrate integrity and strong work ethics while maintaining vigilance to identify and escalate potential non-compliance risks promptly.
- Has good knowledge of Microsoft applications including Excel, Word, PowerPoint & Teams.
- Candidates with knowledge & experience with PowerBI, Python, Alteryx, AI (LLM, NLP etc.) will be preferred.
Nomura Competencies
Explore Insights & Vision
- Identify the underlying causes of problems faced by you or your team and define a clear vision and direction for the future.
Making Strategic Decisions
- Evaluate all the options for resolving the problems and effectively prioritize actions or recommendations.
Inspire Entrepreneurship in People
- Inspire team members through effective communication of ideas and motivate them to actively enhance productivity.
Elevate Organizational Capability
- Engage proactively in professional development and enhance team productivity through the promotion of knowledge sharing.
Inclusion
- Respect DEI, foster a culture of psychological safety in the workplace and cultivate a "Risk Culture" (Challenge, Escalate and Respect).
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