AddressWe are working with an institutional bank on a project to review, remediate and uplift their Trade Surveillance capabilities for the financial markets business. They are currently looking for an experienced risk & compliance professional with strong understanding of the logics & data associated with trade executions. This is an instrumental role to ensure business needs and relevant global regulatory expectations are met.
Responsibilities:
- Independently review the existing end to end Trade Surveillance risk and control environment to determine adequacy (including data visibility across completeness, accuracy, and timeliness attributes).
- Lead assurance activities associated with Trade Surveillance replacement activities, including independent reviews of scenario, data and end to end control coverage.
- Advise on the design and implementation of Trade Surveillance controls to monitor for conduct risk scenarios.
- Uplift process flows, data quality/lineage, technology driven attributes and surveillance scenario logic/code to meet internal and regulatory obligations.
- Ensure early identification and active management of significant operational and compliance risks and escalate where treatment plans, remediation activities or timelines are inadequate.
- At least 5 years of experience in institutional markets Trade Surveillance role or relevant.
- Good knowledge of Trade Surveillance controls and alerts calibration.
- Knowledge of FICC & OTC derivative products & trade cycles, and any abuse / misconduct behaviours ideally on a global scale.
- Strong stakeholder management and project management capabilities - through having open and authentic conversations.
- Understanding of SQL/Splunk programming languages is highly desirable.
Apply now using the 'Apply Now' button. If you have further questions please e-mail Eugena Gong at ***********@randstad.com.au to arrange a confidential discussion.
At Randstad, we are passionate about providing equal employment opportunities and embracing diversity to the benefit of all. We actively encourage applications from any background.
