Client Onboarding Operations Associate

Corporate Title: Associate 

Department: Operations

The base pay range for this position at commencement of employment is expected to be between $95K and $115K/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, visit www.nomura.com.

Aon’s Benefit Indexregistered, Nomura’s benefits rank#1 amongst our competitors

Department overview:

CSG is a division of Nomura Wholesale Operations and provides client integration, KYC diligence, client outreach, entity data management and sales support functions through various locations globally. The Global Markets Client On-boarding team, a subdivision of CSG, coordinates the client integration requirements of all Global Markets initiatives in the US. This is a client facing role in which you will add value to a team whose primary objective is delivering on-boarding efficiency and exceptional client service. We are looking for an enthusiastic team player with excellent communication and coordination skills who can build strong relationships both internally and externally.

Role description:

• Responsible for front to back on-boarding of client static data for new to bank clients.
• Communicate with and direct clients in relation to on-boarding requirements (i.e. Tax/KYC/AML/Regulatory/Credit)
• Resolve challenges affecting the on-boarding process via ability to provide/obtain/coordinate advice from business partners and/or escalate within team management as appropriate, as well as coordinate calls/meetings with internal/external persons as needed in order to produce resolution.
• Serve as process facilitator while coordinating across multiple internal teams, namely Front Office, Corporate, Operations, Credit, Legal, Middle Office and Back Office to ensure that clients are on boarded in an efficient and streamlined manner.
• Continual communication with client and internal stakeholders to foster transparency and maintain process progression.
• Manage client static data captured on internal client data platforms (Reference Data Management, EVE) and improve quality as needed via ad-hoc regulatory projects and remediations.
• Demonstrate elevated organization skills in management of high-volume inbox.
• Navigate solid understanding of firm’s Compliance, Regulatory, KYC, Tax, Credit and Legal requirements to best promote an efficient and timely on-boarding process.

• Must obtain FINRA SIE and Series 99 licenses within 6 months of employment.

Key objectives critical to success:

• Demonstrate confidence in dealing with internal and external clients, with ability to articulate key messages through all mediums and escalate potential risks in a timely manner.
• Exhibit strong client interaction and exercise impeccable professional standards.
• Possess a sound sense of urgency in being able to act promptly and with intention.
• Must be proactive in the execution of daily tasks to ensure no deadlines are missed. 
• Must have genuine interest in developing an in-depth understanding of the Business and Nomura’s clients.

Skills, experience, qualifications and knowledge required:

• 3+ years of experience in client on-boarding, preferably dealing with financial institutional clients.
• Demonstration of outstanding project management skills with ability to work in a fast-paced, deadline driven environment.
• Client oriented, with excellent communication skills both written and verbal with ability to communicate at all levels internally and externally.
• Team player with ability to build consensus.
• Organized with high attention to detail and able to problem solve quickly and efficiently.
• Knowledge of Microsoft Suite, SharePoint and PowerBI is a plus.
• Familiarity with AML/KYC/Regulatory regimes in EMEA and US is a plus.
• Familiarity with products governed by ISDA/CDEA/MRA/MSFTA is a plus.
• Bachelors degree required or equivalent experience
• Series 99 is preferred

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