Client Due Diligence Senior Specialist

Company overview

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

Job Description

Job Title: Client Due Diligence Senior Specialist

Corporate Title: Associate

Division: Operations

Location: Hong Kong

Licensed Role: No

Function Overview:

IWM Operations executes regional anti-money laundering (AML), counter-terrorist financing (CTF) and anti-fraud controls across multiple Nomura entities in the region, ensuring compliance with regulatory requirements and guidelines across different jurisdictions.

You will be part of Client Services Group (CSG), a specialized function responsible for executing KYC controls, including documentation review, name screening, and client static data updates for International Wealth Management (IWM) clients and counterparties.

In this role, you will contribute to risk mitigation & process scalability initiatives, metrics-driven management, and exceptional client service delivery. You will gain hands-on experience with the team's automation and control enhancement projects, driving continuous process improvements. You will also partner cross-functionally with Front Office, Operations, Compliance and Legal teams to safeguard our clients and protect the Bank. As a Senior CDD Specialist, you will model best practices in client service delivery and champion process innovation by challenging status quo, implementing risk-based approaches and driving meaningful change.

Responsibilities:

• Act as the key liaison and subject matter expert supporting IWM Hong Kong Front Office on Rolling and Event Triggered Reviews; Build and maintain strong working relationships as one of the primary Operations contacts in Hong Kong.


• Execute KYC related controls for Wealth Management clients and counterparties, including documentation review, name screening and static data updates, as part of the Periodic Reviews or Event Triggered Reviews process.


• Provide clear and targeted guidance to Front Office on regulatory, process and policy requirements, as a trusted process advisor and Subject Matter Expert (SME).


• Perform case management effectively, by closely monitoring case progress and collaborating with colleagues from Front Office, Financial Crime Compliance (FCC) and Business Management (BM) teams to assess client risk and implement risk-based approaches where appropriate.


• Proactively identify control enhancement and process automation opportunities, and work with team leads to deliver and operationalise changes successfully.


• Conduct training to Front Office and Operations teams; provide regulatory, policy and procedural requirements guidance to analysts.


• Support internal and external audit fieldwork, regulatory inspections, and the closure of remediation action plans for audit findings and self-identified issues.


• Conduct User Acceptance Testing (UAT) for system rollouts and support ad hoc data remediation and back-testing initiatives.


• Review and update procedures, guidelines, frameworks, and checklists to ensure accuracy and relevance.


• Monitor process health and performance via management-by-metrics approach.

Requirements:

• Minimally 5 years of relevant Wealth Management KYC Operations experience.


• Excellent knowledge of regional KYC/AML and regulatory requirements, including FATF & Wolfsberg frameworks.


• Excellent command of the English and Mandarin languages, with strong written and verbal communication skills.


• Exceptional partnership and client service skills; can develop excellent working relationships with both Front Office and Corporate functions.


• Strong problem solving & critical thinking skills, including the ability to assess impact comprehensively and implement risk-based approaches based on sound knowledge of regulatory requirements and AML risks.


• Ability to work independently with minimal supervision and thrive in virtual, collaborative team environments.


• Demonstrate integrity and strong work ethics while maintaining vigilance to identify and escalate potential non-compliance risks promptly.


• Has good knowledge of Microsoft applications including Excel, Word, PowerPoint & Teams.


• Candidates with knowledge & experience with PowerBI, Python, Alteryx, AI (LLM, NLP etc.) will be preferred.