Senior Compliance Leader - Financial Markets & Risk

AUSIEX; Perth; Presencial; AUD 120.000 - 180.000; Jornada completa

Descripción de la vacante

AUSIEX is seeking a Compliance Manager / Senior Compliance Manager to join the Risk & Compliance Team in Australia. You will manage day‑to‑day delivery across your compliance portfolio with oversight from the GM, providing practical advice and escalating issues when required.

You will apply knowledge of Australian securities markets, AFSL obligations, market integrity and post‑trade surveillance to support business objectives, develop policies, and report material risks to governance forums.

Formación

• Experience delivering Australian financial services compliance in a market participant, stockbroking or related business.
• Strong knowledge of AFSL obligations, Corporations Act, ASIC rules and TMX/ASX operating rules.
• Ability to assess incidents, coordinate regulatory notifications and provide practical compliance guidance.

Responsabilidades

• Develop and deliver the risk-based compliance plan for GM approval.
• Assess incidents, track reporting deadlines and coordinate remediation.
• Provide practical guidance to the business to maintain compliance with obligations.
• Maintain and improve the compliance framework and obligations register.
• Identify regulatory changes and implement responsibilities with business owners.
• Support policy development and disseminate compliance learning across AUSIEX.
• Deliver monitoring and reporting on market compliance, including surveillance and best execution.

Conocimientos

Compliance management

Regulatory knowledge

Risk assessment

Stakeholder engagement

Investigations

Educación

Tertiary qualification in business, finance, law or risk management

Descripción del empleo

AUSIEX is seeking a Compliance Manager / Senior Compliance Manager to join the Risk & Compliance Team in Australia. You will manage day‑to‑day delivery across your compliance portfolio with oversight from the GM, providing practical advice and escalating issues when required.

You will apply knowledge of Australian securities markets, AFSL obligations, market integrity and post‑trade surveillance to support business objectives, develop policies, and report material risks to governance forums.