Nomura
Financial Crime Compliance Associate
Corporate Title:
Associate
Department:
Compliance
Location:
New York
Base Pay Range:
$100,000 - $140,000 per year (plus sign‑on bonus, restricted stock units and other discretionary awards; additional benefits include 401(k) eligibility, paid time off, medical coverage, etc.)
Company Overview Nomura is a global financial services group that operates in over 30 countries and regions. The firm serves individuals, institutions, corporates and governments through three business divisions: Retail, Wholesale (Global Markets and Investment Banking), and Investment Management. Founded in 1925, Nomura is built on a tradition of disciplined entrepreneurship and creative solutions.
Role Description The role assists the Nomura Americas Financial Crime Compliance (FCC) lead and BSA/AML Officers in managing and executing FCC related policies. The associate reports directly to the FCC lead and works closely with business lines, regulators and other stakeholders to ensure compliance with anti‑money laundering (AML), sanctions, anti‑bribery and anti‑corruption (ABC) requirements.
Key Responsibilities
Advise business lines and other stakeholders on AML, sanctions and ABC risks and policy requirements.
Update and maintain FCC policies and procedures.
Design and help administer FCC related training programs.
Support FCC regional lead on regulatory inquiries, examinations and internal audits of FCC programs, including BSA/AML programs for regulated entities.
Collect and coordinate distribution of FCC metrics.
Assist with preparation, coordination and execution of the firm’s compliance and operational risk assessments.
Represent FCC on key compliance initiatives, meetings and committees.
Monitor and analyze developing trends and changes to relevant laws and regulations.
Participate in global compliance initiatives, working closely with counterparts in London, Hong Kong and Tokyo.
Qualifications
3+ years of applicable experience in a financial institution AML or OFAC compliance environment.
Knowledge of U.S. AML and sanctions laws and regulations, including the U.S. Bank Secrecy Act, the USA PATRIOT Act and OFAC.
Understanding of corruption risks beneficial.
Excellent time‑management and organizational skills.
Strong research, communication and writing skills.
Bachelor’s degree required.
CAMS credential is a plus.
Law degree is a plus.
Practical broker‑dealer and capital markets knowledge is a plus.
Nomura Leadership Behaviors
Explore Insights & Vision
– Identify underlying causes of problems and define a clear vision and direction for the future.
Making Strategic Decisions
– Evaluate options for resolving problems and prioritize actions or recommendations.
Inspire Entrepreneurship in People
– Inspire team members through effective communication of ideas and motivate them to enhance productivity.
Elevate Organizational Capability
– Pursue professional development and share knowledge to improve team productivity.
Inclusion
– Foster a culture of inclusion and psychological safety in the workplace and cultivate a “Risk Culture.”
If hired, employee will be in an “at‑will position” and the company reserves the right to modify base salary (as well as any other discretionary payment or compensation program) at any time, including for reasons related to individual performance, company or department/team performance, and market factors.
Nomura is an Equal Opportunity Employer.
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Associate
Department:
Compliance
Location:
New York
Base Pay Range:
$100,000 - $140,000 per year (plus sign‑on bonus, restricted stock units and other discretionary awards; additional benefits include 401(k) eligibility, paid time off, medical coverage, etc.)
Company Overview Nomura is a global financial services group that operates in over 30 countries and regions. The firm serves individuals, institutions, corporates and governments through three business divisions: Retail, Wholesale (Global Markets and Investment Banking), and Investment Management. Founded in 1925, Nomura is built on a tradition of disciplined entrepreneurship and creative solutions.
Role Description The role assists the Nomura Americas Financial Crime Compliance (FCC) lead and BSA/AML Officers in managing and executing FCC related policies. The associate reports directly to the FCC lead and works closely with business lines, regulators and other stakeholders to ensure compliance with anti‑money laundering (AML), sanctions, anti‑bribery and anti‑corruption (ABC) requirements.
Key Responsibilities
Advise business lines and other stakeholders on AML, sanctions and ABC risks and policy requirements.
Update and maintain FCC policies and procedures.
Design and help administer FCC related training programs.
Support FCC regional lead on regulatory inquiries, examinations and internal audits of FCC programs, including BSA/AML programs for regulated entities.
Collect and coordinate distribution of FCC metrics.
Assist with preparation, coordination and execution of the firm’s compliance and operational risk assessments.
Represent FCC on key compliance initiatives, meetings and committees.
Monitor and analyze developing trends and changes to relevant laws and regulations.
Participate in global compliance initiatives, working closely with counterparts in London, Hong Kong and Tokyo.
Qualifications
3+ years of applicable experience in a financial institution AML or OFAC compliance environment.
Knowledge of U.S. AML and sanctions laws and regulations, including the U.S. Bank Secrecy Act, the USA PATRIOT Act and OFAC.
Understanding of corruption risks beneficial.
Excellent time‑management and organizational skills.
Strong research, communication and writing skills.
Bachelor’s degree required.
CAMS credential is a plus.
Law degree is a plus.
Practical broker‑dealer and capital markets knowledge is a plus.
Nomura Leadership Behaviors
Explore Insights & Vision
– Identify underlying causes of problems and define a clear vision and direction for the future.
Making Strategic Decisions
– Evaluate options for resolving problems and prioritize actions or recommendations.
Inspire Entrepreneurship in People
– Inspire team members through effective communication of ideas and motivate them to enhance productivity.
Elevate Organizational Capability
– Pursue professional development and share knowledge to improve team productivity.
Inclusion
– Foster a culture of inclusion and psychological safety in the workplace and cultivate a “Risk Culture.”
If hired, employee will be in an “at‑will position” and the company reserves the right to modify base salary (as well as any other discretionary payment or compensation program) at any time, including for reasons related to individual performance, company or department/team performance, and market factors.
Nomura is an Equal Opportunity Employer.
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