Financial Crime Compliance Associate

Corporate Title: Associate

Department: Compliance

Location: New York

Company Overview

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

Aon’s Benefit Index®, Nomura’s benefits rank #1 amongst our competitors

Department overview:

Nomura Americas Financial Crime Compliance ("FCC") coordinates the Firm’s enterprise wide and legal entity specific anti-money laundering ("AML"), sanctions, and anti-bribery and anti-corruption (“ABC”) compliance policies.

Role description:

Role will assist the Nomura Americas FCC lead and BSA/AML Officers in managing and executing FCC related policies. The role will report directly to the Nomura Americas FCC lead.

Key job responsibilities

·        Advise business lines and other stakeholders on AML, sanctions, and ABC risks and policy requirements.

·        Update and maintain FCC policies and procedures.

·        Design and help administer FCC related training programs.

·        Support FCC regional lead on regulatory inquiries, examinations and internal audits of FCC programs, including BSA/AML programs for regulated entities.

·        Collect and coordinate distribution of FCC metrics.

·        Assist with preparation, coordination, and execution of the Firm’s compliance and operational risk assessments.

·        Represent FCC on key compliance initiatives, meetings and committees.

·        Monitor and analyze developing trends and changes to relevant laws and regulations

·        Participate in global Compliance initiatives, working closely with counterparts in London, Hong Kong, and Tokyo.

Skills, experience, qualifications and knowledge:

·        3 years of applicable experience (i.e. financial institution AML, OFAC compliance).

·        Knowledge of U.S. AML and sanctions laws and regulations, including U.S. Bank Secrecy Act, the USA PATRIOT Act, and OFAC. Understanding of corruption risks beneficial.

·        Excellent time management and organization skills.

·        Strong research, communication, and writing skills.

·        Bachelor’s degree required.

·        CAMS a plus.

·        Law degree a plus.

·        Practical broker dealer and capital markets knowledge a plus.

Nomura Leadership Behaviors 

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  

• Foster a culture of inclusion and psychological safety in the workplace and cultivate a "Risk Culture" (Challenge, Escalate and Respect). 

*base pay offered may vary depending on multiple individualized factors, including market location, corporate and functional title and duties, job-related knowledge and advanced degrees, skills, and experience. The total compensation package for this position may also include other elements, including a sign-on bonus, restricted stock units, and discretionary awards in addition to a full range of medical, financial, and/or other benefits (including 401(k) eligibility and various paid time off benefits, such as vacation, sick time, and parental leave), dependent on the position offered. Details of participation in these benefit plans will be provided if an employee receives an offer of employment.

If hired, employee will be in an “at-will position” and the Company reserves the right to modify base salary (as well as any other discretionary payment or compensation program) at any time, including for reasons related to individual performance, Company or individual department/team performance, and market factors”.

Nomura is an Equal Opportunity Employer