At a Glance
- Tasks: Conduct trade surveillance analysis and support compliance investigations in a dynamic financial environment.
- Company: Join Nomura, a global leader in financial services with a collaborative culture.
- Benefits: Gain valuable experience in compliance with competitive pay and professional development opportunities.
- Other info: Temporary role with potential for growth in a diverse and inclusive workplace.
- Why this job: Make an impact in the finance world while learning from industry experts.
- Qualifications: Strong knowledge of equities and previous surveillance or trading experience preferred.
The predicted salary is between 50000 - 60000 £ per year.
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.
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.
Equities Trade Surveillance Compliance Officer (3 Months Paternity Cover) employer: Nomura Holdings, Inc.
Nomura is an exceptional employer, offering a dynamic work environment in the heart of London where employees can thrive in the fast-paced world of financial services. With a strong commitment to diversity and inclusion, Nomura fosters a culture of collaboration and professional growth, providing opportunities for employees to enhance their skills and advance their careers. The company's focus on disciplined entrepreneurship and innovative solutions ensures that every team member plays a vital role in shaping the future of finance.
StudySmarter Expert Advice🤫
We think this is how you could land Equities Trade Surveillance Compliance Officer (3 Months Paternity Cover)
✨Tip Number 1
Network like a pro! Reach out to your connections in the finance and compliance sectors. Attend industry events or webinars to meet potential employers and get your name out there. Remember, it’s all about who you know!
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of EU/UK regulatory rules and market abuse regulations. Be ready to discuss your experience with trade surveillance tools like Actimize or SMARTS.broker. Show them you’re the expert they need!
✨Tip Number 3
Don’t just apply anywhere; focus on companies that align with your values. Check out our website for openings at StudySmarter and see how we can help you grow in your career while making a difference!
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way in keeping you top of mind. Use this opportunity to reiterate your interest in the role and highlight how your skills match their needs.
We think you need these skills to ace Equities Trade Surveillance Compliance Officer (3 Months Paternity Cover)
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Equities Trade Surveillance Compliance Officer role. Highlight relevant experience, especially in trade surveillance and compliance, and don’t forget to mention any specific tools like Actimize or SMARTS.broker that you’ve used.
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for this temporary role. Mention your understanding of EU/UK regulatory rules and how your skills align with the responsibilities outlined in the job description.
Showcase Your Attention to Detail:Since this role requires strong attention to detail, make sure your application is free from typos and errors. A well-organised application reflects your ability to maintain high standards in your work.
Apply Through Our Website:We encourage you to apply through our website for a smoother application process. It’s the best way for us to receive your application and ensures you’re considered for this exciting opportunity!
How to prepare for a job interview at Nomura Holdings, Inc.
✨Know Your Regulations
Make sure you brush up on the EU/UK regulatory rules and market abuse regulations before your interview. Being able to discuss these confidently will show that you’re serious about the role and understand the compliance landscape.
✨Familiarise with Surveillance Tools
Get to know trade surveillance systems like Actimize and SMARTS.broker. If you can demonstrate your understanding of how these tools work and their importance in trade surveillance, it’ll give you a leg up during the interview.
✨Prepare Real-World Examples
Think of specific instances from your past experience where you’ve dealt with trade surveillance or compliance issues. Being able to share these examples will help illustrate your skills and make you more memorable to the interviewers.
✨Show Your Team Spirit
Nomura values collaboration and communication, so be ready to discuss how you’ve worked effectively in teams before. Highlighting your ability to inspire and motivate others will resonate well with their company culture.
