Trade Surveillance Consultant
Salary AUD90,000 - AUD110,000 per annum + Super
Location Sydney CBD
Consultant Dylan Mountford
Date posted 13 June 20181 Farrer place Sydney 2000 Robert Walters Australia
Due to ongoing growth in our clients business, the Risk/Compliance Management division is expanding its team of surveillance analysts and additional people are required with existing trade surveillance/conduct experience.
Working with the Head of Market/Trade Surveillance to monitor trading activities across its business units. In particular, surveillance will be conducted for -
- Potential market manipulation
- Potential market misconduct;
- Potential insider trading and other Control Room related issues (working with the Control Room);
- Employee trading violations; Potential money laundering (working with the AML team); and Misuse of electronic communications
- Exposure to equities and/or fixed income trading;
- Experience reviewing and determining the importance of alerts, escalating appropriately and ensuring that all remediation steps are completed and documented;
- Strong communication skills, both written and verbal;
- Demonstrable understanding of the role of Compliance within the banking and financial services industry;
- The ability to develop relationships across various stakeholders, including local and regional advisory Compliance staff, Technology and the business;
- The capacity to proactively identify and analyse problems and propose viable solutions;
- Good organisation skills with the ability to work towards and meet deadlines; and
- Tenacity and flexibility, with experience of managing and prioritising a number of activities simultaneously.
To apply please click apply or call Dylan Mountford on 02 8289 3171 for a confidential discussion.