Vice President - Compliance, Monitoring and Surveillance

Singapore, Singapore | Nomura Holdings

  • Industry:
    Financial Services
  • Position Type:
  • Functions:
    Financial Services Professional
    Legal / Compliance
  • Experience:
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.