Trade compliance officer Work, Jobs in Uxbridge, Eng (with Salaries)

Equities Trade Surveillance Compliance Officer (3 Months Paternity Cover)
Nomura —London
- Temporary
Senior Global Trade Compliance Manager
John Crane —Slough
- Full-time
- Analysis skills
- Bachelor's degree
- Business
Quick apply
Compliance Officer (UK SMF 16), London (GB)
Swiss Re —London
- £76,000 - £114,000 a year
- Full-time
- Hybrid work
- English
- Bachelor's degree
- No degree
Compliance Officer
Stephenson Harwood LLC —London
- Presentation skills
- Bachelor's degree
- In-person
- Employee discount
Building Services Officer - Fixed Term
Active Luton —Luton
- £34,660 a year
- Full-time
- Schematics
- Maintenance
- Programmable logic controllers
- Employee assistance programme
Quick apply
3d
Supply Chain Compliance Officer
Prinova Europe —London
- Full-time
- Hybrid work
- Microsoft Word
- Microsoft Excel
- Microsoft Outlook
Quick apply
Compliance Officer
ED&F Man Commodities —London
- English
- Master's degree
- Bachelor's degree
Compliance Officer - Sanctions Risk Framework Owner (Hybrid; 80-100% working degree), London (GB)
Swiss Re —London
- £76,000 - £114,000 a year
- Full-time
- Hybrid work
- English
- Continuous improvement
- Communication skills
Field Officer - Electrical (Solar PV, Battery Storage and Electrical CPS compliance)
NAPIT —Guildford
- £42,000 - £45,000 a year
- Full-time
- Remote
- Travel
- Organisational skills
- Communication skills
- Annual leave
- Sick pay
Compliance Controls Analyst Trainee
Société Générale —London
- Microsoft Powerpoint
- Microsoft Excel
- Data analysis skills
13h
Compliance Officer – Market Surveillance (Fixed Income & FX)
Société Générale —London
- Analysis skills
- Communication skills
4d
Information Security Officer - Post Trade, LCH Ltd
London Stock Exchange Group —London
- Full-time
- Communication skills
E+ Grant Officer
British Council —London
- £25,520 a year
- Administrative experience
- No degree
7d
Canvas Compliance Officer
Point72 —London
- Financial services
- Communication skills
- Health & wellbeing programme
Administrative Officer (ID4754)
Animal and Plant Health Agency —Weybridge
- £29,770 a year
- Overtime
- Microsoft Word
- Microsoft Excel
- Microsoft Outlook
- Annual leave
- Employee discount
4d
Senior Compliance Officer
BHFT —London
- Full-time
- Remote
- Communication skills
- Flexible schedule
Quick apply
Private Wealth Management Compliance Officer - Market Solutions Group - Vice President - London
Goldman Sachs —London
- Full-time
- Microsoft Powerpoint
- Microsoft Word
- Microsoft Excel
- Employee assistance programme
Wealth Credit Risk Senior Officer - SVP
Citi —London
- Full-time
- Hybrid work
- Master's degree
- Analysis skills
- Bachelor's degree
- Employee assistance programme
- Employee discount
Deputy Chief People Officer
UK Research and Innovation —London
- £94,931 a year
- Full-time
- Presentation skills
- No degree
- Travel
- Annual leave
- Employee discount
10d
Property Officer
City of London Police —London
- £31,160 a year
- Hybrid work
- Continuous improvement
- Annual leave
- Flexible schedule
3d

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trade compliance officer jobs near uxbridge, eng

Equities Trade Surveillance Compliance Officer (3 Months Paternity Cover)

Nomura -
London

Apply Now

Job details

Temporary

Benefits

UK visa sponsorship

Qualifications

Report writing
Bloomberg
Surveillance

Full job description

Job Code: 13548

Country: GB

City: London

Skill Category: Compliance

Description:

Job title: Equities Trade Surveillance Compliance Officer (Paternity Cover)

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. For further information about Nomura, visit www.nomura.com

Department Overview

This job description is designed to fit alongside the wider departmental responsibilities set out in the Compliance Charter and the scope and coverage (in terms of locations and legal entities) of this job description will be the same as that set out in the Compliance Charter. This job description provides a more detailed articulation of the responsibilities of the Equities Trade Surveillance Compliance Officer for EMEA Compliance.

Overview:

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 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; and

Skills, experience, qualifications and knowledge required:

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 Actimize or SMARTS.broker; and
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 have 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

Apply Now

Refine Your Search

trade compliance officer jobs in uxbridge, eng

Equities Trade Surveillance Compliance Officer (3 Months Paternity Cover)

Senior Global Trade Compliance Manager

Compliance Officer (UK SMF 16), London (GB)

Compliance Officer

Building Services Officer - Fixed Term

Supply Chain Compliance Officer

Compliance Officer

Compliance Officer - Sanctions Risk Framework Owner (Hybrid; 80-100% working degree), London (GB)

Field Officer - Electrical (Solar PV, Battery Storage and Electrical CPS compliance)

Compliance Controls Analyst Trainee

Compliance Officer – Market Surveillance (Fixed Income & FX)

Information Security Officer - Post Trade, LCH Ltd

E+ Grant Officer

Canvas Compliance Officer

Administrative Officer (ID4754)

Senior Compliance Officer

Private Wealth Management Compliance Officer - Market Solutions Group - Vice President - London

Wealth Credit Risk Senior Officer - SVP

Deputy Chief People Officer

Property Officer

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Job title: Equities Trade Surveillance Compliance Officer (Paternity Cover)

Job Type: Temporary (PAYE)
Contract Duration: 3 Months

Department: EMEA Compliance

Location: London

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trade compliance officer jobs in uxbridge, eng

I want to receive the latest job alerts for trade compliance officer in uxbridge, eng

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Job title: Equities Trade Surveillance Compliance Officer (Paternity Cover)

Job Type: Temporary (PAYE) Contract Duration: 3 Months

Department: EMEA Compliance

Location: London

Job Type: Temporary (PAYE)
Contract Duration: 3 Months