Trade Surveillance Analyst

Nomura Overview:

Nomura is a global financial services group with an integrated network spanning approximately 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Wealth Management, Investment Management, and Wholesale (Global Markets and Investment Banking). Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought leadership. For further information about Nomura, visit www.nomura.com.

Nomura Services, India supports the group's global businesses. With world-class capabilities in trading support, research, information technology, financial control, operations, risk management and legal support, the firm plays a key role in facilitating the group's global operations.

At Nomura, creating an inclusive workplace is a priority. Our approach to inclusion encompasses a variety of initiatives, including sensitization campaigns, implementing conducive policies & programs, providing infrastructure support and engaging in community events. Over time, we have made meaningful progress in these areas, and this commitment has been well-recognized across the industry. We are proud recipients of the prestigious Top 10 Employers award by the India Workplace Equality Index (IWEI), IWEI Gold Employer of Choice awards, India CSR Leadership Award 2024 for Holistic Village Development Program and the YUVA Unstoppable Changemaker Awards.

Divisional Overview:

Powai L & C broadly covers the areas of Legal and Compliance and is responsible for building a robust risk and control framework. The Powai L & C teams support Nomura Powai entities, as well as L & C teams globally to ensure effective risk management of Legal and Compliance related risks for the firm. Powai Legal comprises of the Corporate Legal and Transaction Legal functions, which provide advice and support on corporate, employment and transactional matters. The Offshore Legal team supports global teams on corporate and secretarial matters, Global Markets, and Masters documentation related requirements. Powai Compliance comprises of functions such as Core Compliance, Trade Surveillance, Electronic Communication Surveillance, Financial Crime Monitoring, Control Room & Disclosure Monitoring and Employee Compliance. The teams provide advisory, and operations support to global / regional Compliance teams driven by global / regional policies and regulatory expectations.

Business Overview:

The Trade Surveillance team is part of the firm's Compliance function and 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.

What We Offer:

• We support employee wellbeing by ensuring a sense of purpose and belonging.
• We offer a comprehensive range of wellbeing services which allows employees to get access to the assistance they need at any point in their wellbeing journey.
• Our bespoke benefits support employees and their family's holistic wellbeing and are inclusive of diverse identities and family structures.

Position Specifications:

Corporate Title: Analyst

Functional Title: Analyst/Sr. analyst

Experience: 4 to 7 Years

Qualification: Graduate/Post Graduate

Role & Responsibilities:

Surveillance Operations

• 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.

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 team 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 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.

Collaboration & Reporting

• 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.

Continuous Improvement

• 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.

Mind Set:

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 Behaviours: 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

We are committed to providing equal opportunities throughout employment including in the recruitment, training and development of employees. We prohibit discrimination in the workplace whether on grounds of gender, marital or domestic partnership status, pregnancy, carer's responsibilities, sexual orientation, gender identity, gender expression, race, color, national or ethnic origins, religious belief, disability or age.

*Applying for this role does not amount to a job offer or create an obligation on Nomura to provide a job offer. The expression Nomura refers to Nomura Services India Private Limited together with its affiliates.

*The benefits are subject to change and will be in accordance with Company's policies as may be applicable from time to time).