VP, AI-Driven Compliance Surveillance

Nomura; Hong Kong; On-site; HKD 900,000 - 1,500,000; Full time

Job summary

Nomura in Hong Kong is seeking a Compliance Monitoring and Surveillance Officer (Vice President) to join the AEJ Monitoring and Surveillance Compliance team. You will help implement systems to detect market abuse and policy breaches across Asia-Ex-Japan markets, collaborating with regional and global partners.

You will drive modernization of surveillance, lead cross-border projects, and ensure accurate models and timely escalation.

Qualifications

• Minimum 5 years in market abuse or trade surveillance with hands-on surveillance platform experience.
• Strong data analytics: Excel advanced, SQL and/or Python; BI tools preferred.
• Experience with AI/automation tools in compliance or operational processes preferred.
• Demonstrated project management ability to lead multi-stakeholder initiatives.
• Knowledge of local and global regulatory requirements for market abuse surveillance.
• Experience managing relationships with regulators and auditors.
• Proactive, analytical, and able to manage multiple projects.
• Excellent communication and presentation skills.

Responsibilities

• Modernize surveillance function with data analytics and automation.
• Identify manual workflows and streamline with scripts.
• Lead regional/global surveillance projects end-to-end.
• Assess new risks from regulatory developments.
• Support AEJ Head on ad hoc assignments.
• Ensure procedures and escalation processes are followed.
• Maintain accuracy of surveillance models.
• Escalate issues affecting alert quality and seek improvements with tech.
• Prepare management reports on findings.
• Collaborate with Compliance and internal stakeholders regionally.
• Assist reviews with other legal/compliance teams.

Skills

Market surveillance

Data analytics

Excel advanced

SQL

Python

BI tools

AI/Automation

Project management

Regulatory knowledge

Stakeholder mgmt

Communication skills

Tools

Surveillance platforms

Regulatory tools

Job description

Nomura in Hong Kong is seeking a Compliance Monitoring and Surveillance Officer (Vice President) to join the AEJ Monitoring and Surveillance Compliance team. You will help implement systems to detect market abuse and policy breaches across Asia-Ex-Japan markets, collaborating with regional and global partners.

You will drive modernization of surveillance, lead cross-border projects, and ensure accurate models and timely escalation.