Vp, Compliance Monitoring and Surveillance Officer

1 week ago

Singapore Nomura Asia Full time

**Company overview**

Aon's Benefit Index ®, Nomura's benefits
**rank**
**#1** amongst our competitors

**Function Overview**:
The AEJ Monitoring and Surveillance Compliance team is responsible to implement systems and controls to detect potential market abuse/misconduct activities as well as internal Compliance policy breaches throughout the Asia-Ex-Japan markets, which includes Singapore, Hong Kong, Taiwan, Malaysia, India, Indonesia, Korea and Australia. It allows the firm to comply with its regulatory obligation and seeks to protect the interest of both the firm's clients and the firm itself.

**Responsibilities**:
The role and responsibilities include:

- Identifying new and emerging risks from business and regulatory developments and assessing their impact on the compliance surveillance programme
- Involvement in implementation projects to develop and maintain trade and Ecom surveillance technology
- Ensure that compliance 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
- Ensure that surveillance models including their parameters are accurate and reflective of the regulatory environment
- Preparing reports to senior management/stakeholders regarding surveillance review findings
- Engaging within Compliance and with other internal stakeholders to facilitate a coordinated approach to compliance surveillance matters across the region.
- Work closely with other legal and compliance teams to review and conduct investigations when necessary
- Provide regular trainings for new hires and existing team member

**Requirements**:

- Knowledge across different asset and product classes required
- Proficient understanding of the surveillance and compliance process including experience in performing risk assessment and project management
- Knowledge of local and global regulatory requirements and industry standard around market abuse surveillance
- Experience in managing relationship with regulators and auditors
- Ability to work collaboratively with other regional and global partners
- Strong analytical, problem solving skills, and able to manage multiple projects.

**Diversity Statement**
Nomura is committed to an employment policy of equal opportunities, and is fundamentally opposed to any less favourable treatment accorded to existing or potential members of staff on the grounds of race, creed, colour, nationality, disability, marital status, pregnancy, gender or sexual orientation.

DISCLAIMER: This Job Description is for reference only, and whilst this is intended to be an accurate reflection of the current job, it is not necessarily an exhaustive list of all responsibilities, duties, skills, efforts, requirements or working conditions associated with the job. The management reserves the right to revise the job and may, at his or her discretion, assign or reassign duties and responsibilities to this job at any time.

Nomura is an Equal Opportunity Employer

  • Vp, Compliance Surveillance and Monitoring

    17 hours ago

    Singapore GIC Investment Full time

    **Location**: Singapore, SG Job Function: Legal & Compliance **Job Type**: Permanent Req ID: 12961 **Legal and Compliance Department** The Legal and Compliance Department (LCD) manages the legal, regulatory and compliance risks for GIC, and partners with the business to ensure that legal, regulatory and compliance issues and risks are identified,...

  • Associate - Compliance, Monitoring and Surveillance

    2 weeks ago

    Singapore NOMURA SINGAPORE LIMITED Full time

    **Company overview** **Function Overview**: The AEJ Monitoring and Surveillance Compliance team is responsible to implement systems and controls to detect potential market abuse/misconduct activities as well as internal Compliance policy breaches throughout the Asia-Ex-Japan markets, which includes Singapore, Hong Kong, Taiwan, Malaysia, India, Indonesia,...

  • Vp/director, Front Office Conduct Surveillance

    7 days ago

    Singapore Hays Full time

    **Your new company** My client, one of the market leaders in the banking sector, is currently looking for a VP/Director, Front Office Conduct Surveillance (FOCS) to work in their flagship Singapore office. **Your new role** Reporting to Head of Front Office Conduct Surveillance (APAC), you will be responsible on: - Daily monitoring of Front Office activity...

  • Avp/vp, Market Surveillance

    1 week ago

    Singapore RevUp Consulting Full time

    **AVP/VP Member Supervision & Market Surveillance - Central, Singapore** An established derivatives/digital assets exchange is seeking a Member Supervision & Market Surveillance professional. You will be given an exciting opportunity to work closely with the Head of Legal & Compliance to manage the regulatory compliance, member supervision & market...

  • Casino Surveillance Officer

    1 week ago

    Singapore Marina Bay Sands Full time

    Join to apply for the Casino Surveillance Officer (General Posting)role at Marina Bay Sands Join to apply for the Casino Surveillance Officer (General Posting)role at Marina Bay Sands Get AI-powered advice on this job and more exclusive features. LOVE WHAT YOU DO? THERE IS A PLACE FOR YOU HERE!Be part of our diverse and inclusive team. Job Responsibilities...

  • 22460529 Compliance Business Control Officer

    3 days ago

    Central Singapore Emprego SG Full time

    **Location** - Singapore, Central Singapore**Job Type** - Full Time**Salary** - $12,000 - $19,000 Per Month**Date Posted** - 3 hours agoAdditional Details **Job ID** - 107398**Job Views** - 1Roles & Responsibilities **Key Responsibilities**: - Work with the Regional Retail Bank team to execute a robust control and governance framework for Insurance...

  • Specialist Monitoring/surveillance Apac

    2 weeks ago

    Singapore Shell Full time

    **The Role**: **Where you fit in?** The Trading & Supply (T&S) Monitoring & Surveillance (M&S) team has global responsibility for the monitoring & surveillance of the trading practices and business communications in T&S. The Specialist M&S reports into the Senior Regional Specialist M&S and is based in the regional hub. **What’s the role?** The...

  • Specialist Monitoring/surveillance Apac

    2 weeks ago

    Singapore Shell Full time

    **The Role**: **Where you fit in** The Trading & Supply (T&S) Monitoring & Surveillance (M&S) team has global responsibility for the monitoring & surveillance of the trading practices and business communications in T&S. The Specialist M&S reports into the Senior Regional Specialist M&S and is based in the regional hub. **What’s the role?** The...

  • Vp Global Markets Compliance

    2 weeks ago

    Singapore Qontel Search Pte Ltd Full time

    Qontel Search Pte Ltd SingaporePosted 1 hour ago Permanent Competitive - VP Global Markets Compliance We are looking for an experienced VP Global Markets Compliance to take up this exciting position with our clients, a renowned global banking player. - This key position supports the Head on Singapore regulatory matters and takes the Global Markets...

  • AVP/VP, Compliance

    2 weeks ago

    Singapore Maybank Investment Banking Group Full time

    Execute trade surveillance program to monitor trading activities for equities/derivatives in Singapore and foreign markets for signs of market abuse, manipulation, insider trading, and other misconduct. Conduct daily reviews of trade surveillance alerts generated by surveillance systems, investigate anomalies, document findings, and escalate potential...