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About the Role

This role involves daily, weekly, and ad hoc surveillance analysis using various systems to detect possible market abuse and manipulation. It includes assisting with communications surveillance, advisory-aligned surveillance, ad hoc investigations, and proactive systems enhancement. The position serves as the main point of contact for Cash Equities surveillance matters and supports the EMEA Head of Global Markets Surveillance in coordinating departmental deliverables.

Responsibilities

Conduct trade surveillance for possible market abuse/market manipulation.
Assist with audio and electronic communications surveillance.
Perform advisory-aligned surveillance and ad hoc investigations.
Proactively approach systems enhancement and development.
Act as the main point of contact and subject matter expert for Cash Equities surveillance matters.
Assist with investigations or exchange inquiries.
Ensure surveillance activities adhere to agreed procedures and frameworks.
Ensure 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 risk areas and align Market Abuse functionality with the business.
Prepare trade information and supporting evidence for the MLRO in cases of suspicious trading activity.
Collaborate with Compliance IT to support the development and implementation of new surveillance initiatives.
Perform quality assurance of surveillance alerts handled by offshore level 1 surveillance teams.
Assist the EMEA Head of Global Markets Surveillance in coordinating periodic management information and performance/risk metrics.

Requirements

Maintain detailed working knowledge of key EU/UK regulatory rules and regulations.
Maintain 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 stay updated on regulatory, market, and product developments.
Possess strong Equities product knowledge.
Ideally have previous surveillance or trading experience.
Have a good understanding of the FCA handbook.
Have specific knowledge of the EU Market Abuse Regulations (MAR).
Ideally have previous experience using trade surveillance systems such as Actimize or SMARTS.broker.
Possess good attention to detail.
Possess strong presentation and report writing skills.

Skills

Equities product knowledge
Trade surveillance systems (Actimize, Bloomberg, SMARTS.broker)
FCA handbook
EU Market Abuse Regulations (MAR)
Attention to detail
Presentation skills
Report writing skills

Location

London

Work Type

Temporary
PAYE
Contract

Experience Level

3 Months

About the Company

Nomura is a global financial services group with an integrated network spanning approximately 30 countries and regions.
The firm connects markets East & West, servicing clients through Wealth Management, Investment Management, and Wholesale (Global Markets and Investment Banking) divisions.
Founded in 1925, Nomura is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought leadership.

Equal Opportunity

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