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18/02/2014

Stock Broking - Operations Manager

  • Sydney CBD based
  • Stock Broking
The key responsibilities for this role will include but not limited to:
  • Working with the existing team to review systems for the online stock broking trading platform including but not limited to connectivity to Asia Pacific Stock Exchange (APX), ASXS and third party clearing (where appropriate), trade monitoring, and reporting systems;
  • Working with the existing team to review and complete all necessary steps for ASXS participant application in both the set-up phase and the review stage with ASX;
  • Working with the existing team to review and complete all necessary steps for APX participant application in both the set-up phase and the review stage with ASIC;
  • Working with the existing team to review and finalise internal compliance procedures and policies which are necessary for the operations of the online trading platform from a regulatory requirement perspective;
  • Working with the existing team to review processes and procedures consistent with foreign and domestic customer on-boarding requirements;
  • Guiding and supporting the existing team members and providing training and guidance to the trading desk and settlements officer(s) as necessary;
  • Working with the existing team to review fixed gateway systems for implementation by the business in its connectivity to APX;
  • Ensuring operational stability of platform and staffing structure for continuity of business for both pre and post implementation;
  • Supervision of operations as participant to APX and ASXS; and
  • Ensuring compliance with operational procedure, regulatory requirements and reporting procedures on a continual basis.
As for a successful candidate, he or she should:
  • Have relevant tertiary qualifications, and preferred RG146 Qualified
  • Previous senior management level experience in Stock broking and banking
  • You will have demonstrated experience successfully performing similar duties previously
  • Have strong interpersonal and communication skills

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