Executive Director - Head of AML Monitoring FCC Asia - Compliance

Roles & Responsibilities

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 .

Department Overview :

Nomura operates in a complex regulatory environment and the role of Compliance is to ensure that the Firm operates in accordance with the applicable laws and regulations of the exchanges and regulators. The Financial Crime Compliance (FCC) department plays a crucial role in safeguarding the firm against financial crime risks such as money laundering (ML) / terrorist financing (TF) / proliferation financing (PF), sanctions, bribery and corruption through robust monitoring and screening programs. The department works closely with business units across Global Markets, Wealth Management and Investment Banking to implement and maintain effective controls and foster a strong compliance culture.

Role Overview :

The role will serve as a Team Lead for the AML Monitoring Team, with comprehensive oversight of all monitoring and screening activities across the Nomura AEJ region. The position reports directly to the Head of FCC, Asia, based in Hong Kong, with a matrix reporting line to the Head of FCC, IWM based in Singapore.

Role Description :

Strategic Leadership and Governance

• Develop and execute the global strategic vision and target operating model for AML monitoring and screening across AEJ
• Lead and manage a team of monitoring specialists across AEJ
• Maintain oversight of level 1 team productivity and quality through regular KPI / dashboard
• Provide insight and strategic direction on enhancement of monitoring systems and controls, ensuring the controls in place are kept up with the evolving regulatory landscape and emerging AML risks
• Represent AEJ in global AML monitoring initiatives and working groups

Monitoring and Screening Program

Model Risk Management

Stakeholder Management

Skills, experience, qualifications, and knowledge required :

Nomura Competencies

Explore Insights & Vision

Making Strategic Decisions

Inspire Entrepreneurship in People

Elevate Organizational Capability

Inclusion

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

SFID : 11548

Tell employers what skills you have

Wealth Management

Leadership

Dashboard

Reserves

Treatment

Investment Banking

Risk Management

Entrepreneurship

Investment Management

Tuning

Thought Leadership

Team Lead

AML

Screening

Stakeholder Management

Calibration