Trade Surveillance Associate

  • Negotiable
  • Manhattan, NY, USA
  • Permanent, Full time
  • Nomura
  • 09 Feb 18 2018-02-09

The Trade Surveillance Analyst/ Associate is responsible for conducting trade surveillance for listed futures, foreign currency (F/X) and fixed income swaps.

Key functions of this role include:

  • Reviewing and analyzing daily surveillance output to identify potential compliance issues
  • Interfacing with the local Supervisory Managers and Front Office personnel to review and resolve potential compliance issues
  • Identifying potential enhancements to surveillance logic, reports, and workflow through data analysis
  • Working with global surveillance colleagues, surveillance technology teams, and project managers to define requirements and conduct UAT testing
  • Defining new and enhanced workflow processes and procedures
  • Determining how new rules, regulations, and policies impact surveillance

Skills, experience, qualifications and knowledge required:

  • BA/BS degree (Finance, Economics, or Business degree preferred)
  • Working knowledge of fixed income markets, law and regulations
  • 5 to 7 years of compliance, regulatory or other financial industry experience
  • Working knowledge of SMARTS, Actimize or a similar trade surveillance monitoring system
  • Strong organizational and analytical skills
  • Strong written and verbal communication skills
  • Surveillance expertise is a plus

Nomura is an Equal Opportunity Employer