Sales and Trading Supervision

Nomura Holdings, inc. • New York, NY

2d • $100,000 - $160,000

About The Position

The Sales and Trading Supervision team performs daily reviews of the Firm’s trading across Cash Equity and Derivatives desks. Working alongside Compliance, Sales, Trading, Operations, and Equity Management teams the team are analyzing/evaluating data, identifying potential risk, and resolving issues decisively and accurately.

Requirements

• 3-15 years’ experience in trading, trade support/operations or Compliance desirable
• Sound understanding of US equity market structure
• Proficient in excel
• Able to work in fast paced environment with tight deadlines

Nice To Haves

• Series 7 & 57 preferred but not required

Responsibilities

• Performing reviews related to Trade Reporting, Reg NMS, Reg SHO and other applicable rules and regulations.
• Analyzing trade data for potentially manipulative trading practices in US NMS and OTC Equities, Canadian Equities and US Options.
• Supporting the Supervision, Management and Compliance teams with the resolution of surveillance matters.
• Assisting compliance in the preparation of regulatory inquiry responses.
• Developing and Implementing surveillance reports and regulatory controls which are reasonably designed to detect and mitigate regulatory issues.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: No Education Listed