Job Brief:

• Permanent full-time position
• 38 hours per week
• Base Salary will start at $90,000 + superannuation
• Sydney, NSW 2000, City location, close to public transport

About the Company

Interactive Brokers Group, Inc. (NASDAQ: IBKR); is a direct access electronic broker catering to the needs of professional and frequent traders, institutional investors, financial advisors, and introducing brokers. Our clients have access to more than 125 market centres from a single account. We are the lowest cost provider of brokerage services and the largest U.S. electronic broker based on daily average revenue trades executing over 797,000 trades per day.  Our employees are part of a dynamic, multinational, fast-paced, results-oriented team working to provide our customers with state-of-the-art trading technology, superior execution capabilities, worldwide electronic access, and sophisticated risk management tools.

Interactive Brokers Australia (“IBAU”) seeks an experienced financial dealer/trader that is hard working, detail-oriented, careful and a problem solver.  This role will be responsible for trade surveillance across the APAC region and requires high energy and the ability to learn new skills in a dynamic environment.

Responsibilities:

Reporting to the Regional Head of Surveillance, the role involves:

• Conducting trade monitoring and surveillance
• Reviewing and providing suggestions to enhance the existing trade surveillance system/reports
• Manage projects to build and implement approved enhancements and changes required due to regulatory changes. 
• Crafting written instructions for programmers and technology staff.
• Assisting in handling trading inquiries from regulators and exchanges in the region, primarily Australia and Hong Kong;
• Assisting in drafting and implementing firm policies and written supervisory procedures;
• Developing and implementing remedial action plans in response to internal and external audit findings;
• Obtaining information on securities including financial news;
• Reviewing information from live, stock-quotation sources
• Analysing financial markets and financial market products;
• Providing information and offering advice on financial market matters, market conditions and the history and prospects of corporations to the Compliance Team
• Reviewing buy and sell orders in the market placed by clients;
• Monitoring futures prices and market changes in the futures and derivatives markets across the region;
• Calculating and reviewing costs of transactions, as well as understanding the recorded buy and sell orders
• Analyse clients’ trades and financial status, discussing available trading platforms and products to address specific needs. Provide clear explanations to client services regarding trading policy conditions, risks, rates, costs, and benefits.
• Act as the primary point of contact for client service trade-related queries, providing timely and accurate responses.
• Investigate and resolve trade discrepancies, order executions problems and settlement inquiries to ensure client satisfaction and compliance with regulatory requirements.
• Reconcile trade data between internal systems and external sources to identify and resolve any discrepancies or breaches.
• Maintain a proactive approach by promptly identifying noteworthy shifts in risks factors that may impact clients’ trading activities.
• Thoroughly observe and analyse the prices of various commodities, with particular emphasis on energy and precious metals, especially Treasury Bonds, Fine Wool, Greasy Wool, and 30 Day and 90 Day Bills. Additionally, pay close attention to significant events that may impact these commodities.
• Maintain comprehensive and accurate records of trade-related inquiries, investigations, and resolutions.
• Collaborate with compliance team to ensure adherence to regulatory guidelines and internal policies. Prepare and review documentation outlining trade terms and conditions.

Skills Required:

• Good quantitative, analytical and problem-solving skills
• Fluency in English (both written and spoken) is essential.
• Relevant direct financial market experience at a financial services regulatory agency, exchange or licensed brokerage/trading firm.
• Familiarity with exchange rules, rules governing trading conduct 
• Good product knowledge and understanding of the markets
• Prior trade monitoring and surveillance experience
• Solid academic background with relevant qualifications
• Have a "can-do" attitude and willingness to learn.
• Good organizational skills with the ability to prioritize and work independently in a dynamic and fast-paced working environment
• Experience in dealing with exchange and regulatory enquiries.
• A high degree of comfort and fluency with computers and technology, an understanding of how technology is applied to business and regulatory problems or an ability to develop this rapidly.
• Ability to work in a small team environment
• Ability to multi-task, prioritize and work with minimal supervision.

Desired

• Prior experience with Smarts broker or equivalent trade monitoring software.
• Chinese language ability (written and/or spoken in Mandarin or Cantonese) is beneficial.