VP - Compliance, Monitoring and Surveillance - Singapore

  • -
  • Singapour, Singapore
  • CDI, Plein-temps
  • Nomura Asia
  • 06 nov. 17 2017-11-06

We are looking for a VP to focus on Monitoring and Surveillance


  • 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.