Equities Trade Surveillance Compliance Officer

1w1 week ago

Nomura

London, GB · Full-time · £55,000 – £75,000

About this role

Nomura is seeking an Equities Trade Surveillance Compliance Officer for a 3-month paternity cover position within the EMEA Compliance department. This role is critical to ensuring the integrity of cash equities trading through robust surveillance and market abuse monitoring.

Day-to-day responsibilities include conducting surveillance analysis on a daily, weekly, and ad hoc basis using a variety of systems to detect possible market abuse or manipulation. The officer will also assist with audio and electronic communications surveillance, advisory-aligned investigations, and proactive system enhancements.

Working closely with the EMEA Head of Global Markets Surveillance, this role serves as the main point of contact and subject matter expert for cash equities surveillance matters. The officer will coordinate with Compliance IT to support new surveillance initiatives and ensure escalation processes are followed for all issues.

This temporary position offers the opportunity to contribute to a global financial services group with an integrated network spanning approximately 30 countries. The role provides exposure to key regulatory frameworks and the chance to work on high-impact surveillance projects within a disciplined, entrepreneurial environment.

Requirements

Detailed working knowledge of key EU/UK regulatory rules and regulations
Broad awareness of specific conduct and market abuse regulations
Good technical understanding of key trade surveillance systems and methodologies
Experience in trade surveillance or compliance monitoring within equities markets
Ability to manage multiple surveillance tasks and prioritize effectively
Strong analytical skills for identifying suspicious trading patterns and market abuse
Proficiency in preparing clear, evidence-based reports for regulatory and internal stakeholders

Responsibilities

Conduct daily, weekly, and ad hoc surveillance analysis for possible market abuse and market manipulation using available systems
Serve as the main point of contact and subject matter expert for Cash Equities surveillance matters
Assist with audio and electronic communications surveillance and advisory-aligned investigations
Ensure surveillance activities follow agreed procedures and frameworks, with timely escalation and closure of issues
Work with the EMEA Head of Global Markets Surveillance to identify key risk areas and align Market Abuse functionality to the business
Prepare trade information and supporting evidence for the Money Laundering Reporting Officer (MLRO) regarding suspicious trading activity
Carry out quality assurance of surveillance alerts undertaken by level 1 offshore surveillance teams
Support the development and implementation of new surveillance initiatives in collaboration with Compliance IT

Benefits

Opportunity to work at a global financial services group with an integrated network spanning approximately 30 countries
Exposure to cutting-edge trade surveillance systems and regulatory frameworks
Collaborative team environment within EMEA Compliance
Temporary contract with clear 3-month duration for paternity cover