Client Onboarding

Leadingnation; Hong Kong; On-site; HKD 900,000 - 1,200,000; Full time

Job summary

Nomura in Hong Kong, within International Wealth Management's Business Management function, seeks an Associate to support client onboarding, risk reviews and regulatory compliance across the front-to-back process.

The role guides junior team members, coordinates with Risk, Legal and Compliance, and ensures KYC and due diligence standards are met for high-net-worth clients while maintaining strong cross-regional collaboration.

Qualifications

• 3–6 years of AML experience in Private Banking.
• Strong understanding of Wealth Management regulations.
• Direct experience in client onboarding, periodic review or KYC review of HNW clients.
• Excellent communication skills in English and Mandarin.
• Demonstrated ability to supervise a team.
• Proven teamwork across location and regional offices.

Responsibilities

• Review KYC write-ups for Account-Onboarding and Rolling Review of low/medium risk clients.
• Coordinate with Front Office to ensure KYC quality meets Nomura standards.
• Guide Front Office on KYC documents and Source of Wealth corroboration.
• Assess risk factors during risk scoring and identify red flags.
• Perform holistic reviews of client relationships and transactions for purpose alignment.
• Review adverse news for reputational risk implications.
• Monitor periodic review deadlines and provide weekly status updates.
• Liaise between front sales and Compliance/CDD for onboarding requirements.
• Ensure compliance with AML, KYC, Due Diligence policies and procedures.
• Provide guidance to junior team members.
• Participate in system upgrades, process improvements and regulatory projects.
• Develop knowledge on products and regulations and propose process changes with compliance.
• Maintain and update IWM policies and communicate workflow improvements.
• Lead day-to-day BM operations and escalate issues from RMs.
• Support daily BM operations ensuring service quality across front office.
• Interact with FCC, Legal, Compliance, Operations, Risk as needed.

Skills

AML experience

Wealth management knowledge

KYC onboarding

Bilingual English-Mandarin

Team supervision

Cross-regional collaboration

Job description

• Provide guidance to junior members of the team
• Support the business in all aspects
• Direct exp in client on-boarding, periodic review

Job Title: Client Experience, Business Manager

Corporate Title: Associate

Division: International Wealth Management (IWM)

Function: Business Management (BM)

Location: Hong Kong

Nomura Overview

Nomura is a financial services group with an integrated global network. By connecting markets East & West, we service the needs of individuals, institutions, corporates and governments through our four business divisions: Wealth Management, Investment Management, Wholesale (Global Markets and Investment Banking) and Banking.

Driven by the insights of some 28,000 people worldwide, we put our clients at the center of everything we do, delivering unparalleled access to, from and within Asia. For further information about Nomura, visit www.nomura.com

Function Overview

Support the business in all aspects of business management including division policies and regulative requirements of International Wealth Management Division (IWM) regionally, and coordination of requirements with corporate functions like Risk & Credit Management, Operations, IT and Legal and Compliance.

Responsibilities

• Perform review of the KYC write-up for the Account-Onboarding and Rolling Review of low and medium risk (non-PEP nexus) client accounts
• Work with Front Office to ensure KYC information and quality meets Nomura’s standards and requirements
• Provides guidance to Front Office on KYC documentations and Source of Wealth corroboration where necessary
• Ensure all identified risk factors are properly assessed and taken into consideration during risk scoring
• Identify and perform initial assessment of red flag indicators (if any) prior to escalation
• Perform holistic review of the account or client’s relationship’s transaction history to ensure that it is in line with the purpose of the account
• Review adverse news and assess any potential reputational risks involved
• Assist with the monitoring of periodic review deadlines and provides weekly status updates to the relevant stakeholders
• Liaison between front sales and Compliance/CDD team for Client-Onboarding and Rolling Review requirements
• Ensure relevant policies and procedures such as Compliance, KYC requirements, Due Diligence, AML are abided by RMs
• Provide guidance to junior members of the team
• Participate in initiatives including major system upgrades, process/workflow implementation and improvisation, new products & regulatory related projects (if necessary)
• Develop good knowledge on products and regulations, interpret new regulations alongside with compliance and recommend relevant process changes (if necessary)
• Maintains & updates to IWM internal policy to ensure relevancy & communicates updates on new or improvement on workflows (if necessary)
• Leads & handle day-to-day business support & act as point of escalation for issues handling & inquiries from RMs (if necessary)
• Support daily operations of BM, ensure service quality and consistency across front office (if necessary)
• Interacts extensively with FCC, Legal, Compliance, Operations & Risk units where required (if necessary)

Requirements

• At least 3 - 6 years of relevant AML experience in Private Banking is an absolute advantage
• Good understanding in Wealth Management and relevant regulations
• Direct experience in client on-boarding, periodic review or KYC review of HNW clients
• Excellent communication skills with good command of English and Mandarin.
• Individuals should have good track record of team supervision
• Effective teamwork skills having the ability to interact, negotiate and communicate in location and across regional offices

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.