Equities Trade Surveillance Compliance Officer (3 Months Paternity Cover)
Job Code: 13548 | Country: GB | City: London | Skill Category: Compliance
Role Details
Job Type: Temporary (PAYE) | Contract Duration: 3 Months | Department: EMEA Compliance | Location: London
Company Overview
Nomura is a global financial services group with an integrated network spanning approximately 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Wealth Management, Investment 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.
Department Overview
This role supports the EMEA Compliance department’s broader responsibilities as set out in the Compliance Charter. It focuses on equities trade surveillance and related compliance functions.
Key Responsibilities
- Perform trade surveillance analysis on a daily/weekly or ad hoc basis using a variety of systems.
- Cover trade surveillance for potential market abuse or manipulation, assist with audio and electronic communications surveillance, and conduct advisory aligned surveillance investigations.
- Act as the main point of contact and subject matter expert for Cash Equities surveillance matters and support investigations or exchange inquiries.
- Ensure surveillance activities follow agreed procedures, escalation processes, and that all issues are escalated and closed out timely.
- Collaborate with EMEA Head of Global Markets Surveillance to identify key risks and align Market Abuse functionality with business needs.
- Prepare trade information and evidence for the Money Laundering Reporting Officer (MLRO) when suspicious activity is detected.
- Work with Compliance IT to support development and implementation of new surveillance initiatives.
- Perform quality assurance of surveillance alerts from level 1 offshore teams.
- Assist the EMEA Head of Global Markets Surveillance in delivering periodic management information, performance and risk metrics.
Key Objectives Critical to Success
- Maintain detailed knowledge of EU/UK regulatory rules and market abuse regulations.
- Understand key trade surveillance tools such as Actimize, Bloomberg and SMARTS.broker.
- Attend industry events and seminars to stay up to date with regulatory and product developments.
Required Skills, Experience and Qualifications
- Strong equities product knowledge and preferably previous surveillance or trading experience.
- Good understanding of the FCA handbook, especially EU Market Abuse Regulations (MAR).
- Experience using trade surveillance systems such as Actimize or SMARTS.broker.
- Strong attention to detail, presentation and report writing skills.
Nomura Competencies
- Identify underlying causes of problems and define a clear vision and direction.
- Evaluate options for resolving problems, prioritise actions or recommendations.
- Inspire team members through effective communication of ideas and motivate them to enhance productivity.
- Engage proactively in professional development and knowledge sharing to raise team productivity.
- Respect DEI, foster psychological safety, and cultivate a risk culture.
Right to Work
UK Government has reduced net migration. We consider applications from overseas workers from outside the UK who require a Tier 2 Skilled Worker visa only if we can demonstrate 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 reflecting the communities we serve, creating an inclusive environment for all employees. We welcome all applications and do not discriminate on the basis of age, disability, gender identity and expression, pregnancy and maternity, marriage and civil partnership, race, religion or belief, sex or sexual orientation.
Assistance for Disabilities
If you require any assistance or reasonable adjustments due to a disability or long‑term health condition, please contact us.
Equal Opportunity Employer
Nomura is an Equal Opportunity Employer.
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