Trade Surveillance - VP

Last updated an hour ago
Job Type:Full Time

This position offers significant opportunities for career development for the right individual who can demonstrate the highest level of standards & integrity, relevant skill sets, aspiration to succeed as a compliance professional and who is determined to contribute in making a positive difference in the Regional Compliance Surveillance team.


The key roles and responsibilities would include but not limited to:

  • Use trade / communication surveillance tools to analyze system generated alerts across various platforms within the firm and locate any potential breaches of policies and/or where applicable relevant laws and regulations
  • Support analysis conducted through Bloomberg and Internet research, and by maintaining awareness of regional markets and regulatory activity
  • In consultation with the team and leads refer or escalate any unusual or suspicious cases during the course of alert reviews to the relevant LOB / Country Compliance officers and/or other counterparties in accordance with the defined operational process
  • Ensure escalated cases are followed up and documentations are updated in our case register in a timely manner
  • Participate in market conduct related investigations
  • Participate and be actively involved in team meetings and use the platform to present on key topics to senior management
  • Assist in establishing internal control processes and developing/updating procedures.
  • Communication and Trade Surveillance system analysis, system testing and design
  • Interact with stakeholders across regional lines of businesses/ core functional teams such as Country Compliance, US and EMEA Surveillance Teams, Senior Business Management and Technology and Operations


  • Minimum 8 years of experience with an investment bank, broker or regulator across Surveillance/Advisory functions. Solid experience across Equities & FnO markets
  • Proven expertise using SMARTs as well as a good working level knowledge of IRESS, Bloomberg or Reuters
  • Strong product knowledge over exchange traded securities;
  • Strong knowledge of the Australian Equities and F&O Market as well as other regional market and key regulations
  • Understanding of the Information Barrier Surveillance is desirable but not essential
  • Appreciation of risk and escalation and the need for timely and accurate investigations/alert closure
  • Good understanding of market abuse and best practice scenarios
  • Understanding of trading jargon and market commentary/color to complement Ecom surveillance
  • Strong knowledge of investment bank operating model
  • Strong analytical skills and the ability to manage several simultaneous tasks
  • A self-motivated fast learner with the ability to work independently
  • A strong team player and able to engage people across all corporate hierarchies
  • Flexible and adaptable to dynamically changing work processes and environment
  • Good understanding of the FICC products is desirable but not essential
  • Adaptability to work under time pressure and resiliency to provide stable and consistent performance
  • Excellent computer skills especially in standard Microsoft Office applications and SharePoint
  • Proven ability to communicate effectively in English at all levels both orally and in writing
  • Related professional qualification helpful