Financial Crimes Vice President

Nomura; New York (NY); On-site; USD 145,000 - 175,000; Full time

Benefits offered by this job

Competitive salary

Comprehensive benefits package

401(k) eligibility

Job summary

A global financial services firm is looking for a Vice President in Compliance to join its team in New York. This role requires at least 5 years of relevant experience and a Bachelor's degree, with strong skills in AML and KYC processes. You will serve as a point of escalation for compliance concerns and manage relationships with third-party service providers. Responsibilities include drafting policies, reviewing transactions for risks, and conducting compliance training. The pay range is $145K to $175K/year.

Qualifications

• Strong understanding of AML, sanctions, and anti-corruption laws.
• Ability to multi-task and manage numerous projects simultaneously under tight deadlines.

Responsibilities

• Provide support for Know Your Customer (KYC) and enhanced due diligence.
• Manage broker dealer 314a and 314b process.
• Draft and update compliance policies and procedures.

Skills

5+ years of relevant experience

Excellent communication skills

Ability to work independently

Strong organizational skills

Education

Bachelor's degree

Law degree

Job description

Job Description

Corporate Title: Vice President

Department: Compliance

Location: New York, NY

The pay range for this position at commencement of employment is expected to be between $145K and $175K/year*.

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, visitwww.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 / Areas of responsibility

This role is part of the Nomura Americas financial crime compliance team, primarily covering the Firm’s Asset Management (AM) businesses. The role will report directly to the Nomura Americas Regional Financial Crime Lead, and support the Nomura Americas AM AML and OFAC Compliance Officer. The role will be based in New York and will ultimately report to the Nomura Americas Chief Compliance Officer.

Key job responsibilities

• Serve as point of escalation and provide support in connection with Know Your Customer (KYC) and enhanced due diligence.
• Help oversee AML / KYC third-party service providers, including evaluating monthly and quarterly management information.
• Evaluate potential suspicious activity, and draft SAR filings.
• Manage broker dealer 314a and 314b process.
• Review transactions with potential sanctions risk.
• Support execution of incoming financial crime related requests, including DDQs, reverse KYC, and requests for information.
• Help manage board reporting for the mutual funds and ETFs.
• Review political activity scenarios and escalations.
• Execute periodic AML and sanctions risk assessment for AM businesses.
• Draft and update policies and procedures.
• Review new products from financial crime perspective.
• Provide subject matter expertise on regulatory changes.
• Design and coordinate financial crime compliance training.

Skills, experience, qualifications and knowledge

• 5+ years of relevant experience
• Bachelor's degree required
• Law degree a plus
• Understanding of laws and regulations related to AML, sanctions and anti-corruption
• Ability to work independently in a fast-paced environment and respond proactively to business needs
• Excellent communication and interpersonal skills, high comfort level interacting effectively with all levels of staff and management
• Ability to learn quickly and multi-task and manage numerous projects simultaneously under tight deadlines
• Team player with strong organizational and time management skills in order to prioritize complex and time sensitive projects.

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