Nomura - Analyst/Associate - IWM Business Management

Role :

- We are seeking a dynamic individual to join the IWM CAO - Business Management team, based in Powai, partnering with the AeJ (Asia ex-Japan) IWM Business Management team.

- The individual will be joining an existing team of Business Managers, working closely with them and various Business Heads.

- She / he will assume day-to-day responsibilities, primarily covering Business Governance & Risk, Strategic Initiatives, Platform upgrades, Client Onboarding topics and helping with bespoke tactical tasks.

- Other tasks include extending Business support to our Sales team (RM / CSOs) on an adhoc and BAU (Business as usual) execution basis.

- The role would require working with all the functions in the IWM space - Sales, Investment Products and Advisory solutions (IPAS), Lending and Credit solutions (LCS), Control Office (CO)

Responsibilities:

Business Governance & Risk:

- Driving Business committee meetings, platform and control oversight meetings, follow-up on closure of action items.

- External Asset Managers (EAM) / Introducers payment roll out with coordination from Operations and RMs.

- Business as usual on bespoke topics around Post Trip monitoring, Post trade monitoring, Suitability checks, etc.

- Monitor and track Continuous Professional Development (CPD) hours for licensed staff.

- Provide assistance on business continuity management (BCM) matters

Control and Conduct:

- Ensuring adherence to business policies.

- Assist onshore teams in tracking and resolving Audit points and driving closure

- Logging Email Incidents, coordinating and driving any self-identified issues, Ops risk events, etc to closure with appropriate action plans and controls.

- Partnering with Technology, Operations, Finance and other Corporate functions

- To provide support for UAT support for each change cycle schedule

- Co-ordinate changes in PRR, Sales notification and monitoring of eventual client communication

- Assist in the management of E-platform

Client Onboarding:

- Internal Rationale & Portfolio Review (IRPQ) assessment and monitoring exercise of overdue attestation for client accounts supporting SG / HK teams.

- Vulnerable Clients (VC) monitoring and assessments done out of Powai.

- Initial name screening of prospects, etc.

- Rolling Review for low & medium risk client profiles and several other adhoc topics.