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AVP/ VP – Market Risk – Equities

Written by Anton Murray Consulting on .

Location: Sydney

  • $150-200k AUD Equivalent
  • Permanent
  • 7 to 10 years of experience

This is a fantastic opportunity with a Tier One global Investment Bank for an experienced Equity Market Risk Manager with strong equities and equity derivatives exposure, to support the Private Wealth advisory division. A strong background in equity market risk and compliance would be held in high regard. Ideally you will have a strong analytical profile, with a good understanding of wealth management equity market risk and equity markets compliance requirements – to provide internal stakeholders in the private wealth division guidance on equity risk & compliance matters.

Responsibilities:

  • Provide solutions to elevated risk issues;
  • Responsible for identifying and providing guidance to the relevant Manager and Head of Risk on risk matters;
  • Responsible for providing guidance to advisers relating to their regulatory and risk obligations as well as proactively managing the firm’s advice/suitability framework to ensure compliance at all times
  • Undertake detailed, documented account reviews including all discussions with the Financial Advisors and clients (the role will have direct client contact, both face to face and phone)
  • Provide guidance and sign off for complex accounts across all product suites including, equities, wholesale, options, fee based, discretionary and international accounts;
  • Work with the Legal & Compliance team in respect of complaint resolution;
  • Work closely with central risk team to enhance the supervisory framework and contribute to projects as needed;
  • Your strong understanding of Risk, the Corps Act and sense of initiative together with outstanding attention to detail will see you excel in this role.

A successful candidate will have:

  • Detailed knowledge of Australian and International security regulations and compliance requirements, including ASX Market Rules, Securities Clearing House Business Rules, Australian Clearing House Rules, Corporations Act and ASIC Policies;
  • Ability to identify risk and minimize potential liabilities to the business;
  • Extensive knowledge of the financial market fundamentals and the ability to apply this knowledge to ensure technical or professional solutions are delivered;
  • Ability to understand and where required create profit and loss reporting (financial position of account across asset classes)
  • Leadership skills, with the ability to initiate, develop and lead relationships and business transactions

Educational requirements:

  • Strong equity / equity derivative product focused market risk experience
  • 4+ years experience in a market risk role for a firm that is a market participant with equity execution experience
  • ASIC RG 146 compliant and ideally ADA 1 & 2;
  • Tertiary qualifications or recognised industry qualifications essential;
  • Experience in financial markets risk/supervision is essential, with a strong understanding of stockbroking trade flows and operations
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