Sales and Trading Supervision

Job title: Sales and Trading Supervision

Corporate Title: Associate

Department: Surveillance/Compliance- Instinet

Location: New York

The pay range for this position at commencement of employment is expected to be between $100,000 and $160,000/year*

As the agency-model execution services arm of the Nomura Group, Instinet Incorporated subsidiaries provide brokerage services to clients in over 60 markets around the world. Through its advanced suite of electronic trading strategies, experienced high-touch trading group, top-ranked Commission Management services, award-winning desktop trading platform, and unparalleled access to insightful analytics, content and unique liquidity, Instinet helps institutions lower overall trading costs and ultimately improve investment performance. In the US, Instinet also offers a boutique-model Equity Research offering to assist their clients in the pursuit of alpha generation in a changing landscape. Over the course of its 50 year history, Instinet has introduced a range of now industry-standard trading technologies, and has been an innovator at the forefront of the market's evolution. For more information, please visit www.instinet.com .

Aon’s Benefit Index®, Nomura’s benefits rank #1 amongst our competitors

Instinet - Department Overview

Instinet, a subsidiary of Nomura, is a leading global electronic trading platform that offers innovative solutions to institutional clients. With a team of experienced professionals, Instinet provides clients with customized trading strategies and access to liquidity across multiple asset classes. The platform's cutting-edge technology and commitment to client satisfaction have made it a valuable partner for clients looking to optimize their trading performance. Instinet's mission is to continue driving growth and success in the electronic trading space through its focus on technology, innovation, and client service.

Job Description

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

Role 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.
  
  

Key Qualifications Critical To Success In This Role

• 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
• Series 7 & 57 preferred but not required
  
  

Nomura Leadership Behaviours

Explore Insights & Vision

• Identify the underlying causes of problems faced by you or your team and define a clear vision and direction for the future.
  
  

Making Strategic Decisions

• Evaluate all the options for resolving the problems and effectively prioritize actions or recommendations.
  
  

Inspire Entrepreneurship in People

• Inspire team members through effective communication of ideas and motivate them to actively enhance productivity.
  
  

Elevate Organizational Capability

• Engage proactively in professional development and enhance team productivity through the promotion of knowledge sharing.
  
  

Inclusion

• Foster a culture of inclusion and psychological safety in the workplace and cultivate a "Risk Culture" (Challenge, Escalate and Respect).
• base pay offered may vary depending on multiple individualized factors, including market location, corporate and functional title and duties, job-related knowledge and advanced degrees, skills, and experience. The total compensation package for this position may also include other elements, including a sign-on bonus, restricted stock units, and discretionary awards in addition to a full range of medical, financial, and/or other benefits (including 401(k) eligibility and various paid time off benefits, such as vacation, sick time, and parental leave), dependent on the position offered. Details of participation in these benefit plans will be provided if an employee receives an offer of employment.
  
  

If hired in the U.S., employee will be in an “at-will position” and the Company reserves the right to modify base salary (as well as any other discretionary payment or compensation program) at any time, including for reasons related to individual performance, Company or individual department/team performance, and market factors”.

• US FINANCE ONLY** Applicants for this position in the Finance Division of NHA must be currently authorized to work for any employer in the United States. The Finance Division is not sponsoring or taking over sponsorship of employment visas for this position at this time.