COM-Central Compliance

The Trade Surveillance team is responsible for monitoring trading activities across asset classes to identify potential market abuse, insider trading, and other misconduct. The team leverages surveillance tools, data analytics, and regulatory expertise to ensure compliance with global regulations while mitigating financial, regulatory, and reputational risks.

Requirements

• Review, analyse, and resolve trade surveillance alerts across multiple asset classes (equities, fixed income, FX, derivatives and Swaps).
• Conduct detailed investigations into potential misconducts like insider trading, market manipulation, front running, or policy breaches.
• Document findings, escalate issues, and ensure proper closure of cases in line with internal protocols.
• Apply knowledge of global regulatory frameworks (MAR, MiFID II, SEC, SEBI, FCA) to assess potential misconduct.
• Escalate high-risk matters to respective regional surveillance and compliance team in a timely and accurate manner.
• Contribute to thematic reviews and ad-hoc investigations as required.
• Leverage surveillance tools, Bloomberg, Nomura orders and trades management applications trade data, and market information to identify unusual patterns or behaviours.
• Support enhancement of monitoring scenarios by providing feedback on alert quality and trends and performing regular parameter testing.
• Assist in testing and validating new models, parameters and system changes.
• Work closely with regional stakeholders to provide insights from surveillance investigations.
• Prepare clear, concise, and well-structured investigation reports.
• Contribute to management information (MI) and trend reporting for governance purposes.
• Identify process gaps, inefficiencies, and recommend improvements to strengthen surveillance coverage.
• Stay abreast of market developments, new products, and regulatory changes impacting surveillance requirements.
• Participate in automation, AI, and process optimization initiatives to improve alert handling and effectiveness

Benefits

• Comprehensive range of wellbeing services
• Bespoke benefits support employees and their family’s holistic wellbeing and are inclusive of diverse identities and family structures