Compliance Monitoring and Surveillance Officer

Company overview

Nomura is a global financial services group with an integrated network spanning approximately 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Wealth Management, Investment Management, and Wholesale (Global Markets and Investment Banking). Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought leadership. For further information about Nomura, visit www.nomura.com

Job Description

Job Title: ComplianceMonitoring and SurveillanceOfficer

Corporate Title: Vice President

Division: Legal, Compliance & Conduct (LCC)

Location: Hong Kong

Licensed Role: No

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, 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:

Reporting to Compliance AEJ Head of Monitoring and Surveillance, the role and responsibilities include:

• Beyond core surveillance execution, this role is central to modernizing the surveillance function — the ideal candidate combines strong regulatory/market abuse fundamentals with project management discipline and data analytics capability to drive automation and AI-enabled efficiency across manual processes.
• Identify manual, repetitive surveillance workflows and lead initiatives to streamline them using data analytics, scripting, and automation tools.
• Drive surveillance-related regional and global projects end-to-end — including scoping, stakeholder alignment, timeline management, and status reporting to senior management.
• Identifying new and emerging risks from business and regulatory developments and assessing their impact on the compliance surveillance programme
• Supporting Compliance AEJ Head of Monitoring and Surveillance on ad hoc assignments as required
• Ensuring 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
• Ensuring surveillance models including their parameters are accurate and reflective of the regulatory environment
• Identifying and escalation to management any issues that impact the quality of the surveillance alerts.  Improving surveillance applications by working closely with technology on potential enhancement and addressing such issues
• 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.
• Working closely with other legal and compliance teams to review and conduct investigations when necessary

Requirements:

• Min 5 years of experience in market abuse / trade surveillance, eComms/voice surveillance with hands on experience in surveillance platforms
• Data analytics skills: proficiency in Excel (advanced), and working knowledge of SQL and/or Python for data manipulation and analysis; experience with BI tools preferred.
• Prior exposure to AI/automation tools applied to compliance or operational processes would be preferred.
• Demonstrated project management experience — able to independently manage multi-stakeholder initiatives from scoping through delivery
• Knowledge of local and global regulatory requirements and industry standard around market abuse surveillance
• Experience in managing relationship with regulators and auditors
• Track record in identifying potential improvements within business processes
• Strong stakeholder management and ability to work collaboratively with other regional and global partners
• Self-starter with strong analytical, problem-solving skills, and ability to manage multiple projects
• Strong team player with excellent communication and presentation skills
• Solid experience with compliance surveillance applications

Nomura Competencies

Explore Insights & Vision

• Identify the underlying causes of problems faced by you or your team and define a clear vision and direction for the future.

Making Strategic Decisions

• Evaluate all the options for resolving the problems and effectively prioritize actions or recommendations.

Inspire Entrepreneurship in People

• Inspire team members through effective communication of ideas and motivate them to actively enhance productivity.

Elevate Organizational Capability

• Engage proactively in professional development and enhance team productivity through the promotion of knowledge sharing.

Inclusion

Respect DEI, foster a culture of psychological safety in the workplace and cultivate a "Risk Culture" (Challenge, Escalate and Respect).

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