Analyst / Associate - Compliance, Monitoring and Surveillance - Hong Kong

Nomura Asia
Hong Kong
14 Aug 2017
18 Aug 2017
Contract Type

Nomura Overview:

Nomura is an Asia-headquartered financial services group with an integrated global network spanning over 30 countries. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Retail, Asset Management, and Wholesale (Global Markets and Investment Banking). Founded in 1925, the firm practices disciplined entrepreneurship while building on a long tradition of serving clients with creative solutions and considered thought leadership. For further information about Nomura, visit


  • Market abuse and electronic communications surveillance.
  • Engaging with Compliance staff within Nomura's network to help facilitate a coordinated approach to Monitoring and Surveillance matters across the AEJ region.
  • Providing assistance to the Head of Monitoring and Surveillance on development and maintenance of market abuse and electronic communications surveillance technology.  Manage and participate in Trade and Communication Surveillance projects.
  • Work with AEJ Compliance Management to undertake a strategic review of Nomura's monitoring and surveillance capabilities for AEJ.  Identify key areas or risk and ensure that existing Market Abuse functionality is properly aligned to the business.
  • Ensure that 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
  • Consider new or enhanced monitoring and surveillance activities that address the changing business structure and ensure that a robust approach is taken to mitigate business risks.
  • Review and distributing appropriate management information.
  • Handle various Trade and Communication enquiries.
  • Working closely with product and country compliance teams to review and conduct investigations when necessary


  • Good product knowledge across asset classes. Experience on Fixed Income and FX products is preferred.
  • Preference will be given to candidate with compliance monitoring and surveillance experience.
  • Strong project management skills.
  • Excellent verbal and written communication skills.
  • Strong analytical and problem solving skills.

Regional Disclaimers / Diversity Statement 

Nomura is committed to an employment policy of equal opportunities, and is fundamentally opposed to any less favourable treatment accorded to existing or potential members of staff on the grounds of race, creed, colour, nationality, disability, marital status, pregnancy, gender or sexual orientation.