$120000 - $200000 per annum, Benefits: Great cultu
Job Type
Eugena Gong
Contact email
Email Eugena
about 1 month ago
The Organisation:

Global e-trading firm with a remarkable reputation and footprint, backed by first-class technology, platform and resources.

Your Responsibilities:
  • Monitor and review all trading by the company’s 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 AML procedures and provide 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.
  • Maintain and review trading systems controls, filters, parameters and reports.
  • Maintain and develop 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.
  • Develop compliance test applications for trading system applications and algorithms to test their operation and behaviour during various market scenarios (eg fast market, no disorderly market impact).
  • Interact with the IT resources in Asia to ensure compliance projects and requirements are achievable and where possible, consistent with projects developments taking place in other regions (eg EU, US).
  • Keep developing knowledge of Asia, EU and US regulatory developments and compliance issues, ASIC market and exchange regulations.
  • Understand Australian Corporation Law and Hong Kong Securities and Futures Ordinance.
 The Requirements:
  • Min 2-3 years of professional working experience in a Risk / Compliance / Audit / Governance / IT role, preferably in Financial Services.
  • IT literate and fast learning.
  • Demonstrated capability to work in a dynamic and fast churning environment. 
  • Knowledge of financial instruments, Australian securities market and exchange regulations (desirable).
  • Knowledge of APAC, EU and US regulatory developments and compliance requirements (desirable).
  • Native in Japanese - speaking, reading and writing (mandatory).

For further information on this role or to confidentially apply, please contact Eugena Gong on 02 8227 9200 or apply directly via the Apply for this job button. Only WORD FORMAT CVs will be accepted.