AML Compliance Associate

The Americas Compliance Department assists in the administration of Nomura’s compliance programs for the Americas, monitors business activities and employee investments, conducts trade surveillance and other reviews, arranges for the registration and continuing education of personnel engaged in sales, trading, research and investment banking, advises on the application of laws and regulations, and provides support to management and supervisory personnel in coordinating the supervisory system. The Americas Compliance Department works to assist in the development and maintenance of a strong compliance culture.

· First point of contact for KYC and COB referrals

· Review KYC files for onboarding , re-certifications and due diligence requests.

· Documentation review

· Actively participates in the annual AML risk assessment by testing adherence to the AML policy and procedures by the lobs.

· Project work

· Draft relevant procedures

· Conduct investigations, and when required, prepares suspicious activity reports and securities regulatory filings within mandated timelines

· Perform periodic review of customer due diligence files

· Prepare AML related metrics

· Supports senior staff in responding to regulatory requests

· Assist with user acceptance testing for system enhancements and documents work product

· BA/BS degree (Finance, Economics, or Business degree preferred)

· Working knowledge of securities markets

· 2-4 years of business or compliance experience; specifically AML and/or KYC

· Strong organizational and analytical skills

· Ability to multi-task with strong attention to detail

· Works well individually and in teams

· Certified Anti-Money Laundering Specialist (CAMS) preferred