Trade Surveillance Analyst

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. Qualification Required:

Mandatory:

Domain

Financial Markets and Products: Understanding of various asset classes, market structures, trading mechanisms, and financial instruments. - Regulatory Framework and Market Abuse: Knowledge of market abuse regulations, typologies. - Trading Strategies and Behaviors: Comprehension of common trading strategies, algorithmic trading, and potential abusive practices. - Technical

Good MS Office skills. - Knowledge of Excel macro and VBA. - Desired:

Domain

Data Analysis: Familiarity with statistical concepts, surveillance systems. - Risk Management and Compliance: Understanding of various risk types, compliance frameworks, and ethical standards in the financial industry. - Experience of dealing with various regional stakeholders. - Technical

Presentation, MIS reports development skills. - Knowledge of AI. (Note: Additional details about the company were not present in the provided job description) Role Overview: Nomura Services India is looking for an Analyst/Sr. Analyst with 4 to 7 years of experience to join the Trade Surveillance team. As part of the Compliance function, you will be responsible for monitoring trading activities across various asset classes to identify potential market abuse, insider trading, and other misconduct. Your role will involve leveraging surveillance tools, data analytics, and regulatory expertise to ensure compliance with global regulations while mitigating financial, regulatory, and reputational risks. Key Responsibilities:

Surveillance Operations

Review, analyze, and resolve trade surveillance alerts across multiple asset classes such as 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. - Risk & Compliance

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 teams in a timely and accurate manner. - Contribute to thematic reviews and ad-hoc investigations as required. - Data & Analytics

Leverage surveillance tools, Bloomberg, Nomura orders and trades management applications, trade data, and market information to identify unusual patterns or behaviors. - Support enhancement of monitoring scenarios by providing feedback on alert qu