Apply: Compliance Manager, Trade Monitoring and Surveillance

Reference: BH-162644-2
The Role:

These are urgent contract roles at a global Institutional Bank for supporting the 2nd Line Monitoring and Surveillance function, to develop and undertake planned and ad-hoc monitoring activities. The role is part of the Bank's commitment that they are doing the right thing by their employees, customers and shareholders in order to meet legal and regulatory obligations.


Responsibilities:
  • Conduct global reviews of transactional data to identify potential misconduct including insider trading, front-running, market manipulation etc.
  • Conduct enquiries of e-communications channels where necessary.
  • Conduct additional comprehensive “deep dives” where any potential issues are identified.
  • Work to ensure significant risks are identified with maximum efficiency, comprehensively investigated, promptly escalated and adequately resolved by the business.
  • Prepare evidencing of reviews and ongoing reporting.
  • Continually enhance the transactional review to incorporate additional data sets and risk indicators.
  • Participate in and contribute to the ongoing tactical prototype builds, and strategic projects and activities to develop and enhance Surveillance more broadly.
  • Develop and maintain relationships with Front Office, Control Room, Middle Office, Market Risk, Product Specialists and local/country compliance etc.

Knowledge and Experience
  • 5+ years’ experience in trading or compliance related role (including monitoring or a related assurance discipline).
  • Knowledge of Financial Markets Instruments and trading (e.g. FX, Commodities, MMKT transactions, Fixed income and Derivatives).
  • Exposure to monitoring / surveillance tools including E-communications tools and/or analytics products.
  • An understanding of Australia’s markets and financial services laws, regulatory requirements and the key risks associated with this area.
  • Ability to think “out-of-the box” and think innovatively in order to find the best way to detect inappropriate/ unusual activity and then curiosity to follow through with any risks identified.
  • Competency to communicate across all levels of an organisation through channels appropriate to the situation.
  • Strong analytical and problem solving skills.
  • Well developed software skills including Excel (including VBA), Access and Powerpoint. Knowledge in SQL, Tableau, Alteryx, NICE Actimize also welcome.

For further information on this role or to confidentially apply, please contact Eugena Gong on 02 8227 9200 or apply directly via the Apply for this job button. Only WORD FORMAT CVs will be accepted.
Company Background:
<p>Ethos BeathChapman (EBC) is a global group of executive recruitment experts in Australia, Asia and EMEA, with a broader network beyond. We connect exceptional people to exceptional companies. <br /> <br />EBC’s mid-sized agility and solutions-focused approach enables us to flex where traditional recruitment agencies have failed, and scale beyond the reach of boutiques. Our multidisciplinary expertise covers corporate and specialised functions across Finance, Technology, Commerce and Government recruitment markets, among others.</p> <p>Established 2005 in Sydney, EBC today has six offices worldwide in Australia, Singapore, Hong Kong, Japan, Netherlands and the UK. Part of the Nikkei-listed Will Group, Inc, we own Quay Appointments and our staffing and managed solutions specialists, CONNECT. <br /> <br />Let’s connect, and make exceptional happen, together: <a href="http://www.ethosbc.com" target="_blank" rel="nofollow">www.ethosbc.com</a> </p>

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