FTC Operations Analyst

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 Title: FTC Operations Analyst

Corporate Title: Analyst

Division: Operations

Location: Hong Kong

 

Function Overview

The Client Onboarding (“COB”) team is the central point of contact for both established and new client account inquiries. When a business opportunity is established, the COB analyst will liaise directly with the client to ensure their account will be set up with complete functionality on the trading and other internal operational platforms. Additionally, COB represents the client's interests to internal counterparts including but not limited to Credit Risk, Operations and Legal. For Sales coverage, COB ensures any client issues are promptly surfaced, escalated, and resolved in a timely manner to ensure uninterrupted service and a quality client experience.

This role requires strong relationship management, organizational and communication skills in delivering commercial impact to the onboarding process. In addition, knowledge about the Firm's products and services is essential to ensure efficient and complete onboarding.

Internally the COB team is also responsible for establishing and implementing procedures and controls related to account opening as well as identifying opportunities to streamline the process. The team constantly works to enhance current technology for effectively capturing and managing the information and reference data of clients.

 

Job Responsibilities:

• Responsible for onboarding and rolling review of various clients from different organizational types
• Liaising with the client, providing support and guidance throughout the documentation completion process to ensure quality and completeness
• Reviewing and translation of information and documents in Chinese to English
• Coordinate with Sales and Business CAO to prioritize account requests and communicate with internal stakeholders
• Provide onboarding status updates to Sales teams, Business CAO, and Client
• Monitor duration, advise clients and internal stakeholders on emerging issues, actively troubleshoot problems and collaborate across the firm to unblock barriers
• Work closely with internal stakeholders including Sales Support, Compliance, KYC Controls, Audit & Risk

 

Job Requirements:

• Ability to read and speak Chinese.
• Minimum of 2 years of work experience in the banking industry
• Degree in finance or economics is preferred
• Resilience to work in a fast-paced and demanding environment
• Able to multi-task managing urgent and ad hoc requests
• Time management skills to focus on agreed priorities
• Detail-oriented, strong awareness on cost and control
• Confident and strong client service focus when dealing with internal and external clients
• A control mindset and a solid understanding of regulations and associated risks
• Understanding and adherence to Compliance and Regulatory influences within the onboarding process
• Understanding and adherence to Compliance and Regulatory influences within the onboarding process

Nomura Leadership Behaviours

 

• 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: Respect DEI, foster a culture of inclusion and psychological safety in the workplace and cultivate a "Risk Culture" (Challenge, Escalate and Respect).

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. 

 

Nomura is an Equal Opportunity Employer