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KYC Operations Associate / Vice President

Nomura · New York, NY · 4 days ago
Management$130k–$160k/yrFull-time

About the Role

As part of Nomura's prestigious Global Markets KYC team, you will serve as a key ambassador for one of the world's leading financial institutions while spearheading transformative KYC and due diligence initiatives, proactively identifying risks, and driving process improvements across the US market.

Responsibilities

  • Lead End-to-End KYC Due Diligence: Take ownership of the comprehensive KYC due diligence lifecycle for new-to-bank and existing client relationships, ensuring all clients successfully navigate regulatory requirements before relationship approval.
  • Drive Regulatory Precision & Risk Assessment: Analyze client data, documentation, and negative news to determine accurate risk profiles. Oversee comprehensive KYC reviews including Customer Identification Program (CIP), Customer Due Diligence (CDD), Enhanced Due Diligence (EDD), AML screening, sanctions checks, and adverse media reviews.
  • Assist with Leading Strategic KYC Initiatives: Identify and implement strategies to optimize end-to-end KYC processes, serving as an executive sponsor and primary relationship manager throughout complex regulatory and operational workflows.
  • Lead rolling reviews, periodic reassessments, and special projects that drive meaningful improvements in compliance excellence.
  • Risk Assessment Innovation: Proactively resolve complex KYC challenges by leveraging analytical expertise, regulatory knowledge, and network of business partners. Coordinate strategic risk assessments with global teams while escalating appropriately through management.
  • Orchestrate Cross-Functional Collaboration: Serve as a central KYC facilitator, coordinating across internal stakeholders (e.g., Client Onboarding, Compliance, Business, and Global Reference Data teams) to deliver streamlined onboarding experiences and timely client approvals.
  • Foster Strategic Compliance Partnerships: Maintain continuous expert communication with global and local counterparts, ensuring transparency and sustained regulatory momentum.
  • Become a Regulatory Innovation Partner: Master KYC platforms, navigate complex AML/KYC requirements (Patriot Act, Section 312, MiFID), and build expertise across diverse regulatory landscapes while driving operational excellence.
  • Lead Process Excellence Initiatives: Drive organizational transformation through strategic KYC process improvement, leveraging senior stakeholder relationships to enhance compliance efficiency, risk management, and client satisfaction.
  • Senior Collaborator: Build and maintain senior-level internal and external relationships, articulating complex regulatory concepts and identifying strategic growth opportunities.
  • Project Leadership: Lead strategic KYC initiatives, anticipate regulatory changes and business needs, manage cross-functional teams, and execute complex deliverables within timeframes.

Requirements

  • 7+ years of KYC/AML experience with proven expertise in regulatory compliance, dealing with financial institutional clients.
  • Deep knowledge of US AML/KYC/BSA regulations with ability to navigate complex compliance requirements (Patriot Act, Section 312, MiFID).
  • Strong knowledge of CIP, CDD, EDD, beneficial ownership requirements, and PEP/sanctions screening.
  • Proven track record of project leadership in dynamic, fast-paced environments.
  • Outstanding project management skills with ability to work in a deadline-driven environment.
  • Excellent written and verbal communication skills across all levels.
  • Exceptional ability to build consensus across global teams.
  • High attention to detail and ability to problem-solve complex regulatory challenges efficiently.
  • Ability to manage high-volume KYC cases and periodic reassessments while being flexible and dynamic in execution.
  • Series 99 certification (mandatory within 6 months of hiring).

Skills

  • Analytical precision and client-focused service.
  • Knowledge of Microsoft Suite, SharePoint, and PowerBI is a plus.
  • Familiarity with KYC platforms and case management systems (e.g., World-Check, Dow Jones).
  • Desirable: Knowledge of UK/EMEA regulations, ACAMS certification.

Leadership Behaviors

  • Explore Insights & Vision: Identify underlying causes of problems and define a clear vision for the future.
  • Making Strategic Decisions: Evaluate options for resolving problems and prioritize actions effectively.
  • Inspire Entrepreneurship in People: Inspire team members through effective communication and motivate productivity.
  • Elevate Organizational Capability: Engage in professional development and enhance team productivity through knowledge sharing.
  • Inclusion: Foster a culture of inclusion and psychological safety, cultivating a "Risk Culture" (Challenge, Escalate, and Respect).

Pay

The pay range for this position at commencement of employment is expected to be between $130K and $160K/year. The total compensation package may also include a sign-on bonus, restricted stock units, discretionary awards, and a full range of medical, financial, and other benefits (including 401(k) eligibility and various paid time off benefits).

Company Overview

Nomura is a financial services group with an integrated global network. By connecting markets East & West, we service the needs of individuals, institutions, corporates, and governments through our four business divisions: Wealth Management, Investment Management, Wholesale (Global Markets and Investment Banking), and Banking. Driven by the insights of some 28,000 people worldwide, we put our clients at the center of everything we do, delivering unparalleled access to, from, and within Asia.

Department Overview

Nomura's CSG (Client Services Group) is a dynamic division of Nomura Wholesale Operations that drives client success across the globe — providing client onboarding, KYC diligence, client outreach, entity data management, and sales support.

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