Description:
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
