Location
London

Hours
Temporary full-time contract for 3 months

About the Role
Nomura is a global financial services group operating across approximately 30 countries and regions, servicing individuals, institutions, corporates, and governments through Wealth Management, Investment Management, and Wholesale divisions. Founded in 1925, Nomura is built on disciplined entrepreneurship, delivering creative solutions and thought leadership.

The Equities Trade Surveillance Compliance Officer will be based within the EMEA Compliance department and will focus on trade surveillance activities related to market abuse and manipulation within Cash Equities. This role involves daily, weekly, and ad hoc surveillance analysis using various systems, including Actimize, Bloomberg, and SMARTS.broker.

Key responsibilities include being the subject matter expert for Cash Equities surveillance, assisting with investigations and exchange enquiries, ensuring surveillance activities comply with agreed procedures and escalation processes, and working closely with the EMEA Head of Global Markets Surveillance to align market abuse functionality with business needs. The role also involves preparing trade information for the Money Laundering Reporting Officer (MLRO) when suspicious activity is detected, supporting surveillance system enhancements, quality assurance of offshore surveillance alerts, and contributing to management information and risk metrics reporting.

This position requires maintaining up-to-date knowledge of EU/UK regulatory rules, particularly market abuse regulations, and attending industry events to stay informed of regulatory and market developments.

Experience
Strong equities product knowledge with previous surveillance or trading experience preferred. Experience using trade surveillance systems such as Actimize or SMARTS.broker is desirable. Good understanding of the FCA handbook and EU Market Abuse Regulations (MAR) is required.

About you
Detail-oriented with strong presentation and report writing skills. Able to work proactively and collaboratively within a compliance team. Capable of identifying risks and escalating issues appropriately. Committed to continuous professional development and knowledge sharing. Respects diversity, equity, and inclusion principles and fosters a positive risk culture.

Qualifications
No specific qualifications are mandated; however, relevant regulatory knowledge and technical expertise in trade surveillance systems are essential.