Financial Crime Compliance Officer - Vice President Financial Crime Compliance Officer - Vice  …

Nomura Asia
in Singapore
Permanent, Full time
Last application, 10 May 21
SGD206141.00 - SGD306141.00 per annum
Nomura Asia
in Singapore
Permanent, Full time
Last application, 10 May 21
SGD206141.00 - SGD306141.00 per annum
Financial Crime Compliance Officer - Vice President

Nomura Overview

Nomura is an Asia-headquartered 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 practices disciplined entrepreneurship while building on a long tradition of serving clients with creative solutions and considered thought leadership.

For further information about Nomura, visit www.nomura.com

Function Overview:

The AEJ Financial Crime Compliance team is responsible for all financial crime compliance matters in the region, which includes Singapore, Hong Kong, Taiwan, Malaysia, India, Indonesia, Korea and Australia. The primary role is to assist Senior Management in managing the financial crime risks of the firm and ensure the effective implementation of the financial crime regime in the International Wealth Management business of Nomura, Asia ex-Japan. The ambit of financial crime includes Anti-Money Laundering ("AML"), Counter-Financing of Terrorism ("CFT") and Anti-Bribery and Corruption ("ABC").

Responsibilities:

The Financial Crime Compliance Officer will be based in Nomura's Singapore and reports to the Head of Governance and Assurance, Financial Crime Compliance, AEJ.

The role and responsibilities include:

  • Support the planning of annual 2nd line assurance program for Financial Crime Compliance ("FCC") related controls including but not limited to client due diligence, transaction monitoring, name screening review and gifts and entertainment.
  • Perform quality assurance and testing of FCC controls in accordance to the annual assurance program established to ensure robustness of controls and adherence to relevant policies and regulatory requirements.
  • Liaise with relevant stakeholders on outcome of quality assurance and testing; track and monitor action plan/ corrective action to address the failings raised.
  • Assess failings for breach of policies and/or regulatory requirements; support FCC in breach reporting and consequently issuance of Key Risk Indicators to impacted employees.
  • Coordinate and collate FCC related matrices, regulatory update and inadequate/ breakdown of controls for regular senior management and L&C management reporting.
  • Track and monitor progress of FCC action item on self-identified issues reported to senior management.
  • Support the planning, coordination and execution of the Financial Crime Enterprise-Wide Risk
  • Assessment exercise at regional and global level (alignment with global risk assessment outcomes).
  • Participates in ad hoc projects or FCC focused reviews when required.

Requirements:

  • At least 8 years of FCC related assurance or audit experience in Financial Institutions.
  • Bachelor in Business, Accounting, Finance or relevant discipline
  • Well versed with relevant AML/CFT, ABC laws and regulations.
  • Strong analytical skill, detail oriented and team management experience is essential
  • Articulate and self-driven; able to engage and influence internal and external stakeholders
  • Ability to directly address conflicts and escalate issues where appropriate
  • Good team player, proactive and adaptable.

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.

Job Code: 1194036

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