• Ensure the continuing effectiveness of all surveillance controls, including overseeing effectiveness reviews and testing, including maintaining supporting documentation and evidence.

• Prepare and present relevant information and supporting evidence to Compliance Management of suspicious trading activity identified through existing surveillance tasks or escalations and, where appropriate, the filing of regulatory notifications such as Suspicious Transaction and Order Reports (STOR) and Market Observations (MO).

• Develop and oversee enhancements including leveraging data analytics and AI to enhance surveillance efficiency and alert quality.

• Identify new or enhanced monitoring and surveillance activities that address the changing business structure or regulatory environment and ensure that a robust approach is taken to mitigate regulatory risk.

• Provide support to Japan management and strategic insight into the globalization of surveillance in Nomura.

• Manage the transfer of a separate Nomura Group entity’s Surveillance team across into the NEHS Surveillance Team. This will include managing the integration of all trade and communication surveillance tools.

Management

• Oversight of the Surveillance data strategy.
• Chair quarterly NEHS Surveillance Governance meetings.
• Represent Nomura by attending industry-wide surveillance forums, such as the FCA’s Investment Banking Surveillance Forum and AFME’s Surveillance Working Group.
• Develop a sustainable process for horizon scanning for regulatory updates and enforcement actions and, where relevant, provide updates or highlight potential gaps within current controls.
• Lead Regulatory and/or Exchange enquiries and investigations as well as any internal front office referrals requiring investigation.
• Oversee the performance of vendor-provided surveillance services in line with the firm’s Vendor Management Framework.

Regional Coordination

• Work with regional Compliance offices to ensure appropriate surveillance coverage is in line with local risk profiles and regulatory/exchange requirements in line with NEHS needs. Build and oversee the appropriate governance.
• Co-chair Cross-border surveillance meetings and act as a regional lead when considering any cross-border surveillance initiatives or surveillance-related matters that have an NEHS nexus.
• Design and operate the surveillance governance framework, including reporting management information (MI), key risk metrics, and audit findings to senior management and committees for NEHS.
• Coordinate the provision of monthly MI and Key Performance Indicators to senior management and other stakeholders covering Surveillance-related initiatives and associated risks.

Skills, Experience, Qualifications, and Knowledge Required

• An end-to-end process mindset.
• Sound compliance risk management judgment and inclusive leadership skills.
• Extensive experience of market abuse surveillance and a deep knowledge of trade surveillance and communications regulatory expectations across major jurisdictions.
• Excellent communication and interpersonal skills including the ability to interact effectively with stakeholders of all levels and senior management.
• Ability to manage priorities, work independently, and respond proactively to business needs.
• Desire to improve processes or methods of working and influence change.
• A disciplined approach to data management.
• Strong analytical, advisory, and time management skills.
• Ability to manage a pipeline of work with different priorities, work independently, and respond proactively to business needs.
• The desire and drive to improve processes or methods of working and influence change.

Nomura Leadership Behaviours

• 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 inclusion and psychological safety in the workplace and cultivate a "Risk Culture" (Challenge, Escalate, and Respect).

Right to Work

The UK Government has taken steps to reduce net migration to the UK by limiting the number of overseas workers coming to the UK for employment. Please note that whilst we are able to consider applications from overseas workers from outside the UK (who require a Tier 2 Skilled Worker visa) we can only employ them if we can provide evidence that this is a genuine vacancy for a qualified role.

Diversity & Inclusion

Nomura is an equal opportunity employer. We value diversity and are committed to ensuring we best reflect the diversity of the communities we serve, creating an inclusive environment for all our employees. We welcome all applications and do not discriminate on the basis of age, disability, gender identity and gender expression, pregnancy and maternity, marriage and civil partnership, race, religion or belief, sex, or sexual orientation.

If you require any assistance or reasonable adjustments due to a disability or long-term health condition, please do not hesitate to contact us.

Nomura is an Equal Opportunity Employer.