Vice President - Compliance, Monitoring and Surveillance
Singapore, Singapore | Nomura Holdings
Functions:Financial Services Professional
Legal / Compliance
Job Description:105 people have viewed this job
• Position will be primarily responsible for creation of new trade surveillance modules focusing in OTC products including OTC derivatives.
• Engaging within Compliance and with other internal stakeholders to facilitate a coordinated approach to trade surveillance matters across the region.
• Work with Compliance Management to undertake a strategic review of Nomura’s monitoring and surveillance capabilities for the region. Identify key areas or risk and ensure that existing Market Abuse functionality is properly aligned to the business.
• On an on-going basis, consider new or enhanced trade surveillance activities that address the changing business structure and ensure that a robust approach is taken to mitigate market abuse risks.
• Ensure that trade 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.
• Working closely with product and country compliance teams to review and conduct investigations when necessary.
• Contribute to the design and production of timely Management Information for senior management.
• Liaise with Regulators in the region on queries and investigations as and when required.
• Candidate should have experienced in trade surveillance.
• Good product and market knowledge in forex, fixed income and other over-the-counter products (including OTC derivatives).
• Experience within product control, market risk management, valuation or trading will also be considered.
• Strong analytical, problem solving skills, and able to manage multiple projects.
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