Compliance Manager, Trade Surveillance

1 month ago

Melbourne, Australia Randstad Australia Full time

We are working with an institutional bank on a project to review, remediate and uplift their trade surveillance capabilities for the financial markets business. They are currently looking for an experienced risk & compliance professional with strong understanding of the logics & data associated with trade executions. This is an instrumental role to ensure business needs and relevant global regulatory expectations are met.

Responsibilities:

  • Independently review the existing end to end Trade Surveillance risk and control environment to determine adequacy (including data visibility across completeness, accuracy, and timeliness attributes).
  • Lead assurance activities associated with Trade Surveillance replacement activities, including independent reviews of scenario, data and end to end control coverage.
  • Advise on the design and implementation of Trade Surveillance controls to monitor for conduct risk scenarios.
  • Uplift process flows, data quality/lineage, technology driven attributes and surveillance scenario logic/code to meet internal and regulatory obligations.
  • Ensure early identification and active management of significant operational and compliance risks and escalate where treatment plans, remediation activities or timelines are inadequate.Requirements:
    • At least 5 years of experience in institutional markets trade surveillance role or relevant.
    • Good knowledge of trade surveillance controls and alerts calibration.
    • Knowledge of FICC & OTC derivative products & trade cycles, and any abuse / misconduct behaviours ideally on a global scale.
    • Strong stakeholder management and project management capabilities - through having open and authentic conversations.
    • Understanding of SQL/Splunk programming languages is highly desirable.
      Apply now using the 'Apply Now' button. If you have further questions please e-mail Eugena Gong at eugena.gong@randstad.com.au to arrange a confidential discussion.

      At Randstad, we are passionate about providing equal employment opportunities and embracing diversity to the benefit of all. We actively encourage applications from any background.


      experience

      5 years

      skills

      trade surveillance; financial market; institutional banking; market surveillance; risk management; compliance; alert calibration; ASIC; OTC derivatives; FICC; market abuse; misconduct;

      qualifications

      • Relevant work experience

        education

        College/Pre-University

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