Associate - Compliance, Monitoring and Surveillance

1 week 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, 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 Compliance Monitoring and Surveillance Officer will be based in Nomura's Singapore office, and reporting to the team leader locally. The role and responsibilities include:

- Conduct transaction, and electronic communications surveillance to detect potential market abuse.
- Ensure that surveillance activities are undertaken according to agreed procedures and frameworks, escalation processes are followed and all issues are escalated and closed out in a timely manner.
- Review and distribute appropriate management information.
- Continuously look to enhance the parameters calibrations used in the surveillance process.
- Manage and participate in Trade and Communication Surveillance projects.
- Assist with audit queries and adhoc regulatory request.
- Interact with Compliance staff within Nomura’s network, Front Office, Operation, Product Control, and Market Risk to conduct investigation on timely manner.
- Work closely with product and country compliance teams to review and conduct investigations when necessary

**Requirements**:

- Knowledge of local and global regulatory requirements and industry standard around market abuse surveillance
- Good product knowledge across asset classes. Experience on Fixed Income and FX products is preferred.
- Familiarity with SMART trade surveillance system is an advantage.
- Proactive and able to work independently.
- Excellent verbal and written communication skills.
- Strong analytical and problem solving skills.
- Strong project management skills.

**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.

**_SFID: 979_

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