Financial Crimes Vice President

Nomura•New York, NY

4d•$145,000 - $175,000•Onsite

About The Position

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.

Requirements

5+ years of relevant experience
Bachelor's degree required
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.

Nice To Haves

Law degree a plus

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.