Equities Trade Surveillance Compliance Officer (Paternity Cover)
Job Type: Temporary (PAYE)
Contract Duration: 3 Months
Department: EMEA Compliance
Location: London
Overview:
- Surveillance analysis will be carried out on a daily/weekly/ad hoc basis using a variety of systems available to the surveillance team.
- Trade surveillance for possible market abuse/market manipulation.
- Assistance with audio and electronic communications surveillance.
- Advisory aligned surveillance and ad‑hoc investigations.
- Proactive approach to systems enhancement and development.
- Act as the main point of contact and subject‑matter expert for Cash Equities surveillance matters, and assist with any investigations or exchange inquiries where necessary.
- Ensure that surveillance activities are undertaken according to agreed procedures and frameworks, ensuring escalation processes are followed and all issues are escalated and closed out in a timely manner.
- Work with the EMEA Head of Global Markets Surveillance to identify key areas of risk and ensure that Market Abuse functionality is properly aligned to the business.
- Prepare relevant trade information and supporting evidence for the Money Laundering Reporting Officer (MLRO) in the event of any suspicious trading activity identified through existing surveillance tasks.
- Work with Compliance IT to support the development and implementation of new surveillance initiatives.
- Carry out quality assurance of surveillance alerts undertaken by level 1 surveillance teams offshore.
- Provide assistance to the EMEA Head of Global Markets Surveillance to help coordinate the EMEA Compliance department’s delivery of periodic management information, performance and risk metrics.
Key objectives critical to success:
- Maintain a detailed working knowledge of key EU/UK regulatory rules and regulations as well as a broad awareness of specific conduct and market abuse regulations.
- Possess a good technical understanding of key trade surveillance systems, such as Actimize, Bloomberg and SMARTS.broker.
- Regularly attend industry events and seminars to keep up to date with regulatory, market and product developments.
Skills, experience, qualifications and knowledge required:
- Candidate should possess strong Equities product knowledge, with ideally previous surveillance or trading experience.
- Good understanding of the FCA handbook and specific knowledge of the EU Market Abuse Regulations (MAR).
- Ideally the candidate should have previous experience using trade surveillance systems such as Actimize or SMARTS.broker.
- The candidate should possess a good attention to detail in addition to strong presentation and report writing skills.
Nomura competencies
Explore Insights & Vision
- Identify the underlying causes of problems faced by you or your team and define a clear vision and direction for the future.
Making Strategic Decisions
- Evaluate all the options for resolving the problems and effectively prioritize actions or recommendations.
Inspire Entrepreneurship in People
- Inspire team members through effective communication of ideas and motivate them to actively enhance productivity.
Elevate Organizational Capability
- Engage proactively in professional development and enhance team productivity through the promotion of knowledge sharing.
Inclusion
- Respect DEI, foster a culture of psychological safety in the workplace and cultivate a “Risk Culture” (Challenge, Escalate and Respect).
Right to Work
The UK Government has taken steps to reduce net migration to the UK by limiting the number of overseas workers coming to the UK for employment. Please note that whilst we are able to consider applications from overseas workers from outside the UK (who require a Tier 2 Skilled Worker visa) we can only employ them if we can provide evidence that this is a genuine vacancy for a qualified role.
Diversity & Inclusion
Nomura is an equal opportunity employer. We value diversity and are committed to ensuring we best reflect the diversity of the communities we serve creating an inclusive environment for all our employees. We welcome all applications and do not discriminate on the basis of age, disability, gender identity and gender expression, pregnancy and maternity, marriage and civil partnership, race, religion or belief, sex or sexual orientation.
If you require any assistance or reasonable adjustments due to a disability or long‑term health condition, please do not hesitate to contact us.
Nomura is an Equal Opportunity Employer.
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