Business Management

Nomura

Responsible for ensuring business process and procedures are fit for purpose and in line with regulatory requirements of International Wealth Management (IWM) in DIFC, through coordination of requirements with Corporate functions like Risk & Credit Management, Operations, IT, Legal and Compliance.

Ensure internal procedures are understood by sales staff and consistently applied in practice.

Responsibilities

• Participate in end-to-end process implementation, including the design and localization procedures for DIFC branch
• Support Sales query, ensure service quality and consistency across front office (FO) in alignment with internal policies and procedures
• Ensure sales practices are in adherence to framework and policies
• Lead, participate and/or coordinate business process improvement initiatives / projects.
• Identify improvement opportunities on workflows, procedures & systems to better manage controls & overall client experience.
• First point of contact for DIFC staff for all BAU Business Management (BM) activities and partner with Front Office Supervision (FOS) locally to ensure FO activities are fully aligned with Nomura's Risk & Control framework on key risk areas like Investment Suitability & Cross Border.
• Have an 'eye' on the RM, CSO conduct - Ensure Risk matters and KRIs are attended to promptly by RM/ Group Head/CSO.
• Flag and manage reputational risks and conflicts issues
• Partner with DIFC CAO in daily Branch Management activities and be the deputy for key approvals- travel requests, vendor payments, G&E & other BM approvals related to client accounts.
• Actively engage with FO, DIFC CAO, FOS, Local compliance and other stakeholders during regulatory reviews & closure of action points if any.
• Work closely with finance and compliance teams to ensure timely and accurate submission of all periodic DFSA reports.