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Compliance Manager - Trade Surveillance

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Lead assurance activities for a major Trade Surveillance platform
Work collaboratively with diverse teams to mitigate key risks
Opportunity to enhance operational risk, compliance, and business processes

Our client is seeking a dedicated and experienced Trade Surveillance Compliance Manager to lead assurance activities for their Trade Surveillance platform. This role involves safeguarding the integrity, effectiveness, and robustness of the end-to-end control environment. The successful candidate will work in conjunction with Business, Risk, and Technology teams to conduct independent reviews to understand and mitigate various key risks. This includes assurance over the adequacy of product coverage and overall control oversight for business risk owners. If you are passionate about improving efficiency, effectiveness, and achieving improved risk outcomes, this role is for you.

What you'll do:

As a Trade Surveillance Compliance Manager, your primary responsibility will be leading assurance activities related to trade surveillance. You will be instrumental in ensuring that trade surveillance controls are adequately designed to meet relevant risk control objectives. Your role will involve fostering strong relationships with various teams such as Operational Risk, Markets Governance, Technology, and business teams. You will proactively provide valuable insights into risk and control gaps/deficiencies to improve the overall design and operation of the function. Additionally, you will collaborate with business owners or control owners to develop appropriate remediation plans addressing control deficiencies.

Lead assurance activities associated with Trade surveillance replacement activities, including independent reviews of scenario, data and end-to-end control coverage.
Ensure Trade surveillance controls are adequately designed to meet relevant material risk control objectives under the I.AM Op Risk and Compliance framework.
Assist in developing and implementing framework/methodologies for controls to support the business and ensure efficiency and ongoing visibility.
Foster strong working relationships with Operational Risk, Markets Governance, Technology and business teams.
Proactively provide the business with advice and insight in relation to risk and control gaps/deficiencies in order to improve the overall design and operation of the function.
Work collaboratively with the business owner or control owner to develop appropriate remediation plans to address control deficiencies.


What you bring:

The ideal candidate for the Trade Surveillance Compliance Manager position brings a wealth of experience in surveillance controls, particularly trade surveillance. A solid understanding of SQL/Splunk programming languages is essential. You should have a deep knowledge of Institutional Markets business activities and processes. Strong analytical and problem-solving skills are crucial for this role, along with excellent verbal and written communication skills. The ability to build and maintain successful relationships is key. Knowledge of Operational Risk principles and regulatory obligations relating to market misconduct and improper market practices across the global regulatory landscape is required. Process mapping capabilities would be a significant advantage.

Experience with surveillance controls particularly trade surveillance
Understanding of SQL/Splunk programming languages
Knowledge of Institutional Markets business activities and processes
Strong analytical and problem-solving skills
Very strong verbal and written communication skills
Ability to build and maintain relationships successfully
Knowledge of Operational Risk principles
Knowledge of regulatory obligations relating to market misconduct and improper market practices ideally across the global regulatory landscape
Process mapping capabilities

Aboriginal and Torres Strait Islander Peoples are encouraged to apply.
To apply please click apply or call Eoin Reynolds on 03 8628 2154 for a confidential discussion.

Contract Type: FULL_TIME

Specialism: Banking & Financial Services

Focus: Compliance

Industry: Banking

Salary: Attractive Package

Workplace Type: Hybrid

Experience Level: Senior Management

Location: Melbourne

Job Reference: 1975520/001

Date posted: 24 May 2024

Consultant: Eoin Reynolds

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