Analyst, Iwm Operations Analyst

**Company overview**

**Background**
IWM Operation processes support IWM business that has Inherent high risks. Various operational controls

implemented within the IWM Operations space allow us to reduce these inherent risks to low/acceptable levels.

While multiple layers of control within the IWM Operations operate daily controls, the focus of such

Operational controls is transactional. This new role of the Control officer within the IWM Operations will assist in

evaluating the design of these Operational processes and support the line managers in strengthening them where

needed.

The IWM Operations team is also undertaking a vendor resource strategy to enhance the efficiency and cost

effectiveness of the overall process. This will require the establishing of a robust governance model to ensure the

adequacy of controls in the new model. The IWM Control officer will play a critical role in supporting and sustaining

this transition from the current operating model. There are a few control functions that need to be performed from a

segregation of duties stand point and are to be migrated into IWM Operations team. The IWM Control Officer will

manage functions like the oversight of Asset Creation and MTM Updates (to be migrated), handle the ePlatform token

issuance, perform independent call backs on client static data changes/3rd party payments, checking of voice logs for

large size transactions, and oversight on vendor managing client statements.

**Responsibilities**:

- Able to review existing process and come up with ideas for efficiency without compromising on control
- Provide oversight for control functions migrated into IWM Operations
- Ensure adequate oversight over outsourced activities.
- Critically evaluate the KRI packs and dashboards and work with line managers to ensure appropriate

escalation protocols are in place
- Ensure issues are escalated appropriately, and work with stakeholders to complete agreed actions
- Perform assigned tasks independently, timely and accurately
- Handle exceptions and provide constructive solutions to resolve query and challenge
- Able to review existing process and come up with ideas for efficiency without compromising on control
- Manage internal stakeholders and ensure consistent delivery as per SLA
- Participate in projects and change initiatives
- Perform all tasks proactively with a sense of ownership

**Requirements**:

- Min 1-3 years' experience in Wealth Management Operations or Risk and control
- Private banking experience in operational functions preferred.
- Team player with good interpersonal and communication skills
- Comfortable with tight deadlines and pressure
- Inquisitive, proactive and able to work in fast paced environment
- Proficient with MS Excel and PowerPoint
- Experience with Avaloq is added advantage
- Language proficiency in English / Mandarin / Cantonese will be considered as this is required in communicating with clients

**Diversity Statement**
Nomura is committed to an employment policy of equal opportunities, and is fundamentally opposed to any less

favourable treatment accorded to existing or potential members of staff on the grounds of race, creed, colour,

nationality, disability, marital status, pregnancy, gender or sexual orientation.

**DISCLAIMER**:
**This Job Description is for reference only, and whilst this is intended to be an accurate**

**reflection of the current job, it is not necessarily an exhaustive list of all responsibilities, duties, skills,**

**efforts, requirements or working conditions associated with the job. The management reserves the right**

**to revise the job and may, at his or her discretion, assign or reassign duties and responsibilities to this**

**job at any time.**

Job ID 4269