Tiger Brokers (NZ) Limited Looking for Trade Surveillance Analyst at Auckland CBD, Auckland Full Time

ABOUT US:

Tiger Brokers, a New Zealand-based participant in global capital markets, is the New Zealand subsidiary of NASDAQ-listed UP Fintech Holdings Limited (NASDAQ: TIGR), a leading online securities brokerage focusing on global investors. Tiger Brokers New Zealand taps on the expertise and insights to help drive fintech innovation in Asia-Pacific, assisting global investors to achieve their investment goals.

Founded in 2014, Tiger Brokers became the number one US equities trading firm by volume, among trading platforms catered to global investors in less than two years. Tiger Brokers was awarded “2017 Fintech 250” by CB Insights and shortlisted for “China Leading Fintech 50” for two years in a row by KPMG China. HKEX awarded Tiger Brokers as “Innovative Fintech Company of the Year” in 2017.

Tiger Brokers as a multinational enterprise listed on NASDAQ has offices in the Greater China region, North America, Australia, New Zealand and Singapore. Tiger Brokers has over 1 million customers worldwide, with a total trading volume of more than US$200 billion in 2020. Tiger Brokers is backed by well-known conglomerates such as Xiaomi and Interactive Brokers.

Tiger Brokers is a supportive, energetic team offering appealing remuneration package, full-suite professional development and exciting overseas travel opportunities to our global offices, with a full-flow top tier business working environment. Take part in a growing business in the world of global capital markets and gain exposure to the world’s largest equities markets including NASDAQ, NYSE, HKEX, ASX, LSE and TSE.

MAIN RESPONSIBILITIES:

This role is responsible for assisting the team and company in developing and maintaining all aspects of the company’s Trade Surveillance framework, by providing independent and objective oversight, monitoring and reporting functions in relation to trade surveillance activities associated with the company’s capital markets operations.

The successful applicant will possess strong prior knowledge of capital markets and risk/compliance frameworks however substantial in-house training and industry recognised short courses will be provided, as well as ongoing support from colleagues in the team.

You will:

• Monitor trading activity across the business and assist in the implementation of system controls and surveillance procedures;

• Analyse orders, trade and alert data to detect possible market misconduct and abuse;

• Assess alerts and compile justifications for your daily reports, while ensuring comprehensive recordkeeping and maintenance;

• Support the Trade Surveillance function and wider Operations Team with any compliance/operations ad-hoc tasks.

• Substantial training and continued support will be provided to the successful applicant however knowledge of capital markets and applicable regulatory frameworks will be an advantage. In particular, an understanding of Rule 144 and Directed Share Programs (DSP) would be beneficial.

YOU:

• Ideally you will possess at least one year’s trade, risk or compliance experience within the capital markets / brokerage sector.

• You will also be a self-starter, possessing project management capabilities coupled with strong interpersonal skills, resilience, and the ability to build positive, open relationships with key stakeholders across a changing, challenging and complex environment.

• Relevant Tertiary degree with knowledge of NZ securities rules, regulations and risk management will be beneficial;

• Strong monitoring capability, attention to detail and data analysis l skills are required;

• Prior knowledge in equities markets is a must, additional knowledge in derivatives and external regulatory frameworks (such as SFC, SEC or FINRA) will be a huge bonus;

• Fluent in Chinese is a bonus but not a must;

• Must be Eligible to work in New Zealand with a valid working Visa.

Please submit your CV and Cover Letter in PDF formats via Seek, or email [email protected] for further information.

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