AustraliaSenior Compliance Officer – Surveillance
5 дн. назад
AustraliaWorldwideSenior
Lead and manage APAC trade surveillance operations to mitigate regulatory risks in trading activities across multiple markets and asset classes.
О компании
- is a global trading firm powered by a cutting-edge research environment and a world-class technology backbone. Since 1989, we’ve been a stabilizing force in financial markets, providing essential liquidity upon which market participants depend. Across our offices in the US, Europe, Asia Pacific, and India, our talented quant researchers, engineers, traders, and business operations professionals are united by our uniquely collaborative, high-performance culture, and our commitment to giving back. From entering dynamic new markets to embracing disruptive technologies, and from developing an innovative research environment to diversifying our trading strategies, we dare to continuously innovate and collaborate to succeed.
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Обязанности
- Your responsibilities will include, but not be limited to:
- Setting the strategic roadmap for APAC trade surveillance, defining long-term coverage priorities as the business expands into new markets, asset classes, and trading strategies
- Investigating and resolving trade surveillance alerts across market abuse typologies including spoofing, layering, ramping, marking the close, wash trading, and insider trading indicators
- Managing alert queues and ensuring timely investigation and closure of alerts
- Owning responses to regulatory and exchange inquiries relating to trading activity
- Designing and calibrating surveillance alert parameters as new markets, strategies, and products come online
- Owning electronic communications surveillance (review of flagged emails and chat messages)
- Driving data analysis and reporting in support of broader compliance team needs
- Working with software development teams on surveillance platform enhancements, including regulatory data feeds, internal surveillance tooling, and external surveillance systems
- Owning the design of surveillance coverage for new markets and asset classes, including Hong Kong, Korea, Japan, Singapore, United States, China, and markets on the roadmap
- Supporting the APAC assurance programme with surveillance-related data and analysis
- Leading and developing a team of surveillance professionals, including setting objectives, providing feedback and coaching, and ensuring coverage and development needs are met
Другое
- 's APAC Compliance team works closely with our Trading and Technology teams to manage the regulatory risks of our trading activities across multiple jurisdictions, particularly in the Asia-Pacific region. With 's expansion within APAC trading activities notably in the systematic equities space, this role sits at the centre of that growth with a real scope to shape how trade surveillance is done across the region and globally.
- As Senior Surveillance Lead at , you will set the strategic direction for APAC trade surveillance while remaining hands-on across the full scope of day-to-day surveillance work. You will own the surveillance programme across 's APAC trading entities — covering equities, derivatives, and commodities across multiple markets — and lead a small team of surveillance professionals, with the opportunity to grow that team as the business scales.
- Significant experience in trade surveillance within financial services, with a background at a proprietary trading firm, market maker, or HFT/systematic firm preferred
- Demonstrated ability to lead a surveillance function or team, with experience managing, mentoring, or developing junior surveillance staff
- Solid understanding of core market abuse typologies (spoofing, layering, ramping, wash trading, insider trading)
- Knowledge of CSRC program trading rules, SFC Code of Conduct, or ASIC Market Integrity Rules
- Experience with at least one surveillance platform (OneTick, SMARTS, Nice Actimize, or equivalent)
- Experience designing or calibrating surveillance alerts from scratch
- Ability to work with trading data using Python, SQL, or equivalent tools
- APAC markets experience across any combination of Hong Kong, Korea, Japan, Australia, China, or Singapore
- Experience with equities surveillance, derivatives or commodities is preferred
- Commercial awareness: an understanding of trading strategies and market microstructure, and the ability to apply that knowledge to distinguish genuine behaviour from potential misconduct
- Strong written and verbal communication skills; regulatory inquiry responses require clear, precise writing