Apply: Compliance Officer - Financial Markets

Reference: BH-173806-3
The Role & the Organisation:

You will join a globally recognised prop trading brand as part of their APAC regional compliance team. Based in Sydney CBD, you will be responsible for monitoring and reviewing all trading by the Asia entities in a real time and post trade basis. You will work directly with traders and operations teams on the trading floor. This is a superb opportunity for a passionate compliance professional to work in a dynamic and fast-paced true front office trading environment.
 
In the role you will:
  • Monitor and review all trading by Asia entities on a real-time and post trade basis.
  • Provide training and guidance on financial markets and products, trading strategies (e.g. short selling).
  • Liaise with regulators and exchanges (primarily Australia, Hong Kong and Japan).
  • Ensure compliance with anti-money laundering (AML) procedures and provide AML training.
  • Ensure compliance with statutory reporting requirements (e.g. substantial shareholding reports, short position reports).
  • Review IT trading systems, development and testing of systems and controls.
  • Maintenance and review of proprietary trading systems controls, filters, parameters and reports.
  • Maintenance and development of regulatory licence programs, compliance manuals, policies/procedures.
  • Liaise with technology teams to contribute to design, development and documentation of compliance and risk specific IT applications used for compliance monitoring.
  • Development of compliance test applications for trading system applications and algorithms to test their operation and behaviour during various market scenarios.
  • Interact with Asia IT resources to ensure compliance projects and requirements are achievable and where possible, consistent with projects developments taking place in other regions (eg EU, US).
Requirements:
  • Passion for financial markets & trading (essential).
  • 3-5 years of Risk, Compliance or Audit experience in Financial Markets (preferably gained in Exchanges, Regulators or Consultancies).
  • Tertiary qualified and IT literate (preferably on trading and compliance / KYC tools).
  • Excellent writing and communication skills to contribute and write compliance policy and procedures relevant to compliance, risk and IT areas.
  • Knowledge of Australian securities market and exchange regulations.
  • Knowledge of Asia, EU and US regulatory developments and compliance issues.
  • Equity and derivative market experience/exposure (not essential).
  • Understanding of Australian Corporation Law and Hong Kong Securities and Futures Ordinance (not essential).

For further information on this role or to confidentially apply, please contact Eugena Gong (eugenag@ethosbc.com.au) or apply directly via the Apply for this job button. Only WORD FORMAT CVs will be accepted.
Company Background:

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.

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.

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.

Let’s connect, and make exceptional happen, together: www.ethosbc.com

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