Manager - Enterprise Risk & Compliance (Line 2)

ASX; Sydney; On-site; AUD 120,000 - 180,000; Full time

Job summary

ASX is seeking a risk and compliance manager to contribute to the Risk & Compliance Frameworks team within ASX's Enterprise Risk & Compliance Function. You will support the Head of Risk & Compliance Advisory in delivering key objectives to establish a robust risk and compliance framework.

Responsibilities include advising Line 1 on obligations, conducting impact assessments, developing training, engaging regulators, and reporting to governance bodies.

Qualifications

• Substantial experience in Compliance, Risk or Audit in financial services.
• Contributed to implementation and maintenance of compliance frameworks.
• Strong verbal and written communication with executive management.

Responsibilities

• Provide proactive compliance advice across Line 1 businesses.
• Conduct compliance impact assessments.
• Develop and embed risk and compliance frameworks.
• Engage regulators and support regulatory programs.
• Prepare reports for governance bodies.
• Develop and deliver training for Line 1.

Skills

Compliance

Risk management

Audit

Regulatory engagement

Stakeholder mgmt

Education

Tertiary qualifications

Tools

GRC tools

Job description

ASX: Powering Australia's financial markets

Why join the ASX?

When you join ASX, you're joining a company with a strong purpose - to power a stronger economic future by enabling a fair and dynamic marketplace for all.

In your new role, you'll be part of a leading global securities exchange with a strong brand. We are known for being a trusted market operator and an exciting data hub.

We are more than a securities exchange!

The ASX team brings together talented people from a diverse range of disciplines.

We run critical market infrastructure, with 1 in 3 people employed within technology. Yet we have a unique complexity of roles across a range of disciplines such as operations, program delivery, financial products, investor engagement, risk and compliance.

We're proud to foster a workplace where diversity is celebrated and inclusion is part of our everyday culture. Our employee-led networks champion LGBTIQ+ inclusion, promote gender equality, accessibility and wellbeing, inspiring giving and volunteering, and celebrating cultural and religious events, creating a sense of belonging for all. As an AWEI Bronze employer and member of the Champions of Change Coalition for gender equality, we're committed to a fair and inclusive workplace where everyone can thrive.

Your Team

This is an exciting opportunity for a talented risk and compliance manager to substantively contribute to the Risk & Compliance Frameworks team within ASX's Enterprise Risk & Compliance Function. The Enterprise Risk & Compliance function at ASX is comprised of a close nit team who work collaboratively to drive significant change and deliver a high performing risk and compliance culture. This role will support the Head of Risk & Compliance Advisory in delivering key risk and compliance objectives to help ASX achieve a robust risk and compliance management framework and meet other regulatory objectives.

Your responsibilities

• Proactive assistance and advice across Line 1 businesses in meeting compliance obligations, including analysis of existing and new obligations and assist Line 1 with development and enhancement of their compliance framework, policies, procedures, owners and controls
• Undertaking compliance impact assessments in accordance with ASX's incident and breach management process
• Contributing to the development, delivery and embedment of ASX's risk and compliance management framework
• Proactive engagement with regulatory authorities, in line with ASX's Regulatory Engagement Policy, and provide support to Line 1 on regulator assessment programs
• Contribute to reports for ASX governance bodies and regulatory authorities
• Develop training modules and provide training to Line 1

Your experience and qualifications

Must have

• Substantial experience in a Compliance, Risk or Audit role, ideally in financial markets or the financial services sector
• Contributed to the implementation and maintenance of compliance frameworks
• Performed breach assessments
• Proven ability to work with executive management to develop and implement integrated strategic and operational plans
• Strong verbal and written communication skills
• Ability to prioritise work effectively and manage multiple priorities
• Effective negotiation skills and ability to challenge

Nice to have

• Tertiary qualifications in business, commerce, legal or a related discipline
• Experience in dealing with domestic and international regulators at a senior level, achieving outcomes beneficial to the organisation and to its reputation for integrity
• Experience using Governance Risk and Compliance tools Experience in a data/analytics driven environment
• Experience in financial markets
• Background knowledge/awareness of financial services or financial regulation related obligations (ideally in relation to financial market infrastructure)

We make hiring decisions based on your skills, capabilities and experience, and how you'll help us to live our values.

We will arrange for successful candidates to have background checks, including reference and police checks, completed as part of the on-boarding process.

To be considered for this position, candidates must be legally authorised to work in Australia on a permanent basis without any restrictions.