Job title: Equities Trade Surveillance Compliance Officer (Paternity Cover)
Job Type: Temporary (PAYE)
Contract Duration: 3 Months
Department: EMEA Compliance
Location: London
Responsibilities
- Surveillance analysis will be carried out on a daily/weekly/ad hoc basis as necessary using a variety of systems which are available to the surveillance team. Coverage will include:
- Trade surveillance for possible market abuse/market manipulation
- Assistance with audio and electronic communications surveillance
- Advisory aligned surveillance and adhoc investigations
- Proactive approach to systems enhancement and development.
- Be the main point of contact and subject matter expert for Cash Equities surveillance matters, as well as assisting with any investigations or exchange equiries where necessary;
- Ensure that surveillance activities are undertaken according to agreed procedures and frameworks. Making sure 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 or risk and ensure that Market Abuse functionality is properly aligned to the business.
- Prepare relevant trade information and supporting evidence to 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 that are undertaken by level 1 surveillance teams based offshore;
- Provision of assistance to the EMEA Head of Global Markets Surveillance to help coordinate the EMEA Compliance department’s delivery of periodic management information and performance and risk metrics;
Key Objectives
- 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;
Qualifications
- Candidate should possess strong Equities product knowledge, with ideally previous surveillance, trading experience.
- Good understanding of the FCA handbook and in particular specific knowledge of the EU Market Abuse Regulations (MAR);
- Ideally the candidate should have previous experience of using trade surveillance systems such as Actimise or SMARTS.broker;
- The candidate should possess a good attention to detail in addition to strong presentation and report writing skills
Nomura competencies
- Identify the underlying causes of problems faced by you or your team and define a clear vision and direction for the future.
- Evaluate all the options for resolving the problems and effectively prioritize actions or recommendations.
- Inspire team members through effective communication of ideas and motivate them to actively enhance productivity.
- Engage proactively in professional development and enhance team productivity through the promotion of knowledge sharing.
- Respect DEI, foster a culture of psychological safety in the workplace and cultivate a “Risk Culture” (Challenge, Escalate and Respect).
EEO Statement
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.
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 while 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.
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