Greater Sydney Area
• Proven to be reliable and productive at the risk and dealing desk and as an operations officer handling high-volume transactions with strict deadlines • Solid knowledge of over-the-counter (OTC) and exchange-traded derivative products including direct market access (DMA) Equity Contracts-For-Difference (CFDs), foreign exchange (Forex) and global futures contracts. • Proficient user of MS Excel, VBA, SMARTS, Omgeo ALERT, Salesforce, MetaTrader 4/5, Onezero, Tapaas, Bloomberg, IRESS. • Highly motivated team-player who is passionate for challenges and able to learn fast
Senior Analyst in Group Control Room, Enterprise Compliance
• Closely monitoring both market-side and client-side trade matching and settlement, resolving issues with clients and execution brokers • Client static data maintenance ranging from commission rates set up for various markets, sub-account setup and client SSI's maintenance though Omgeo ALERT • Daily reconciliation and position management to ensure all of our accounts are flat of position and P&L, as agency broker.
• DMA equity CFDs pre trade authorization and post trade surveillance through SMARTS • Trading platforms maintenance - IRESS, MT4; Liquidity bridge set up via Onezero • Liaison with prime brokers to update restricted trading list, facilitate cooperate actions and request stock borrows • FX abnormal transaction surveillance and monitoring to identify potential misconduct including insider trading, front-running, market manipulation. • Company exposure stress testing via VaR – equity exposure and FX exposure monitoring and hedging • Support the 2nd line of risk and surveillance function to develop and undertake planned and ad-hoc monitoring activities • Monitoring and authorization of staff and client trading • Trade execution, trade dispute and complaints investigation
• Daily reconciliation of trades, prices and cash balance against all liquidity providers and payment channels • Processing clients’ withdrawals and deposits, and to ensure that transactions follow company policies, procedures and relevant laws and regulations • Coordination with other teams and to provide operational assistance, such as trade investigation, manual trades and transaction costs inspection • Implementation of corporate actions including share dividend, stock split, merge and acquisition, bonus issue, etc. • Monthly rebate calculations for introduction brokers • Responsible for most calls and responses to customer emails • Preparation of Daily Market Report and all operational emails via Marketo and WordPress. • Processing client onboarding via Salesforce
• AUSTRAC reporting and transaction monitoring • Physical FX exchange trade execution and exchange related inquires • On-the-job training to new employees and evaluate their performance as supervisor