Dealer - Equities and Fixed Income

5 days ago

Sydney, New South Wales, Australia Clime Investment Management Limited Full time $120,000 - $200,000 per year

Position Overview

The Dealer is responsible for the accurate, timely, and compliant execution of investment transactions across multiple asset classes across Clime's product suite. Acting as the key conduit between portfolio managers and brokers, this staff member is responsible for placing trades, maintaining broker relationships, and safeguarding the firm's fiduciary and regulatory obligations. With deep market knowledge and strong judgment, the Dealer is expected to manage pre and post trade compliance, monitor market conditions, and contribute to the development of dealing strategies focused on generating alpha.

Key Responsibilities

  • Lead trade execution across direct equities, derivatives, ETFs and fixed income across all Clime IMAs and managed funds.
  • Implement and refine dealing strategies that support broader investment objectives.
  • Conduct ongoing transaction cost analysis (TCA) to measure and enhance execution quality.
  • Maintain and supervise the integrity of Clime's internal book of records (IBOR), ensuring all trades are captured, reconciled, and reported accurately.
  • Take ownership of pre-trade compliance monitoring and escalate accordingly
  • Ensure strict adherence to ASIC market integrity rules, ASX operating rules, and internal risk frameworks.
  • Identify and mitigate trading risks including counterparty exposure, liquidity constraints, and settlement risk.
  • Escalate and resolve trade or compliance issues swiftly, while embedding preventative measures to minimise the possibility of future reoccurrences.

Broker & Market Relationships

  • Develop and manage high-value relationships with brokers to optimise execution and secure market intelligence.
  • Negotiate trading terms and ensure best-execution practices across all counterparties.
  • Represent the firm confidently and credibly in all external market interactions.

Key Skills & Experience

  • 7+ years' trading experience
    (required)
    .
  • Advanced knowledge of IRESS; IOS+, IOS Classic & IPS
    (required).
  • Experienced using data reporting systems including FactSet, Bloomberg or Morningstar Direct (preferred).
  • Proven track record on building and managing broker relationships.
  • Demonstrated ability to design and implement strategic dealing frameworks to enhancing alpha.
  • Strong experience managing compliance obligations and ensuring robust pre and post trade checks.

Qualifications

  • Bachelor's degree in Finance, Economics, or a related discipline.
  • AFMA Accreditation, CFA, or equivalent industry qualification (preferred).

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