Compliance Manager, Trade Surveillance

1 month ago

Melbourne, Victoria, 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 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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