Nomura - 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) and with all the Corporate functions (Tax, Legal, HR, Finance, Compliance, 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.

Skills required :

(ref : iimjobs.com)