Advisor, Compliance Surveillance

As an Advisor in our Compliance Surveillance team, you'll be at the heart of Barrenjoey's second line of defence — monitoring trading activity and electronic communications across our Equities, Fixed Income and multi-asset businesses to identify and prevent potential market abuse. This is a hands-on role that offers genuine breadth, from daily alert management and investigations through to system calibration, regulatory responses and compliance reviews in a challenging and complex environment. You'll work alongside a motivated, high-performing team and build deep insight into how a leading Australian financial services firm operates.

Responsibilities

• Daily review and disposition of trade and eComs surveillance alerts, including case escalation, deep dive reviews and assisting in investigations
• Tuning, calibrating and back-testing parameter thresholds and keyword lexicons across surveillance systems
• Supporting conflict management arrangements through monitoring and surveillance in collaboration with the broader Compliance team
• Assisting with compliance reviews — collecting data, identifying breaches and drafting review reports
• Using AI to create and complement our existing vendor solutions in data and workflow management
• Contributing to external position reporting (substantial holdings) and responding to regulatory notices and tracing enquiries
• Assisting in drafting and maintaining Management Information reports, SOPs and the Surveillance Framework
• Supporting ad hoc investigations and internal risk culture initiatives

About You

• Degree qualified in a relevant discipline; ~2 years' compliance, audit or surveillance experience within investment banking or institutional stockbroking preferred
• Basic understanding of Australian financial markets regulation, including ASIC Market Integrity Rules and market abuse principles
• Strong analytical and logical thinking skills with sharp attention to detail
• Superior verbal and written communication skills — able to present findings clearly to senior stakeholders and regulators
• Comfortable using AI and data analytic tools in a professional setting
• Self-starter: highly organised, able to work independently and take ownership of tasks
• Strong team player with a collaborative mindset and commitment to continuous improvement