AML Advisory, Associate

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    6 months ago

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Job title: Associate, AML Advisory

Corporate Title: Associate

Department: Compliance - Financial Crime

Location: One Angel Lane

Company overview

Nomura is an Asia-based financial services group with an integrated global network spanning over 30 countries. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Retail, Asset Management, and Wholesale (Global Markets and Investment Banking). 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

Department overview

Financial Crime is part of the broader EMEA Compliance Function and sets the standards by which the Firm must comply with all applicable financial crime related laws and regulations. The AML Advisory team are part of Financial Crime and maintain the AML related policies and provide relevant guidance across the firm.

Role Description

Reporting to the Head of AML Advisory, the key responsibilities are to:

  • Provide AML advice and guidance to Front Office and Operations teams, working proactively with them to understand AML risk across the different business areas.

  • Support the regional KYC teams to ensure appropriate due diligence standards are applied to the firm's clients and financial crime red flags are identified and mitigated or escalated as appropriate;

  • Review clients presenting higher financial crime risk factors, such as material adverse news or PEP exposure, and provide detailed risk assessment to the MLRO and delegates.

  • Review and assess appropriateness of policy exception requests relating to alternative verification documentation.

  • Lead regular feedback and training sessions with the regional KYC teams.

  • Collaborate with EMEA regional offices to ensure local regulatory requirements are met.

  • Review and update AML Advisory related procedures on an annual basis or where regulatory or internal changes warrant a review.

  • Support and assist with the implementation of policy, procedure or process change as appropriate.

  • Regularly attend courses and seminars to keep up to date with regulatory, market and product developments.

  • Provide submissions and updates to regular Financial Crime MI reporting and governance committees;

Skills, experience, qualifications and knowledge


  • 3+ years dedicated Financial Crime/AML experience preferably within an investment banking/capital markets environment;

  • Good technical expertise and knowledge of Financial Crime Legal and regulatory obligations and industry best practice;

  • Understanding of the UK regulatory regime

  • Ability to work on own initiative and apply objective judgement;

  • Strong interpersonal, influencing and communications skills;

  • Strong time management, organisational, planning and follow-up skills; ability to multi-task.


  • Educated to degree level

  • A professional Financial Crime qualification from an internationally recognised body (e.g. ICA, ACAMS)