Trade Surveillance Associate Director

 Macquarie Group Limited
 6 days, 15 hours ago

Apply now Job no: RMG-948417
Work type: Full time
Group: Risk Management Group
Location: Sydney
Recruiter: Thomas Rogers

Join a dynamic team responsible for Risk Surveillance within our Risk Management Group’s Enterprise Support team.

You will have responsibility for the Trade Surveillance principally related to capital markets trading activity. 

The role will include ongoing and regular review of trading activity in order to identify improper behaviour or activities counter to our obligations as market participants - including market manipulation, market misconduct, and insider trading. You will be a point of escalation and decision for alerts assessed by surveillance team members as unusual and requiring additional investigation, quality assurance of alerts, and at times you will also review alerts generated directly. You will ensure that alerts are actioned on a timely basis in accordance with agreed protocols, and hence the overall book of work for the team. In this capacity, you will be required to respond to enquiries from internal and external auditors on a periodic basis, and/ or contribute towards responses while working alongside other teams within Risk Management.

You will work with business compliance, traders and desk heads as necessary regarding specific alerts. You will provide periodic reporting to business stakeholders and contribute to global Risk Surveillance reporting.

You will perform quality assurance reviews on team member’s work as a control assurance measure and provide training and guidance to other team members as necessary. You will review the surveillance parameters within the automated surveillance systems to ensure relevance and effectiveness.

The role will involve working directly with business leads, operational risk managers and business compliance to understand and prioritise risks to be surveilled, with a priority of ensuring we meet regulatory requirements and regulator expectations of surveillance appropriate to Macquarie’s activities. You will support the development and enhancement of the frameworks and processes necessary for the effective operation of the Risk Surveillance function, and provide input to an ongoing program of work to enhance surveillance models and technology.

To be successful in this role, you will have a deep understanding of trading activity, and bring prior experience (10+ years) in trade surveillance, compliance/regulation, trading or risk management. Ideally you will be familiar with surveillance applications including SMARTs Broker Compliance Accelerator, Actimize, MANTAS or Bloomberg. You will have a good knowledge of products within Equities, FX, Fixed Income and Futures. Knowledge and experience in Commodities and Credit Markets and Derivatives trading will be a benefit. You will have managed diverse teams and have experience working alongside teams and stakeholders across multiple locations, globally.

You will be self-directed, with the ability to proactively identify and analyse problems, and propose viable solutions. You will be tenacious and flexibility, with experience of managing and prioritising a range of activities.

You will be a team player, able to lead and support other team members, and to provide hands-on support when needed. You will be able to develop relationship with a wide range of stakeholders, both locally and overseas, and be able to challenge when necessary. You will have strong communication skills, both written and verbal.

Should you feel your experience meets the above requirements and would like further information, please apply by following the link below.

Risk Management Group is an independent, centralised unit responsible for ensuring all risk across Macquarie are appropriately assessed and managed. Its divisions include Credit Risk, Regulatory Affairs and Aggregate Risk, Market Risk, Operational Risk, Compliance, Financial Crime Risk, Quantitative Applications and Internal Audit.

Macquarie understands the importance of diversity and inclusion - our long history of success has come from being different. At Macquarie we value the innovation and creativity that diversity of thought brings. The one thing we all have in common is our focus on high performance. If you're capable, motivated and can deliver, we want you on our team.

We facilitate a range of flexible working arrangements within our teams. Talk to us about what flexibility may be available.

Advertised: 13 Sep 2019 AUS Eastern Standard Time
Applications close:
Categories: Mid-senior, Risk Management

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