Senior Compliance Leader – Financial Markets & Risk

Australian Investment Exchange; Sydney; Sur place; AUD 120 000 - 180 000; Plein temps

Résumé du poste

AUSIEX is seeking a Compliance Manager/Senior Compliance Manager in Sydney to lead day-to-day compliance within delegated authority. You will collaborate with the GM of Legal, Risk and Compliance to deliver independent advice and challenge while supporting the business in meeting regulatory obligations.

We value strong knowledge of Australian securities markets, practical monitoring experience, and the ability to drive improvements across the risk and compliance framework.

Qualifications

• Relevant compliance experience in Australian financial services and market participants.
• Strong knowledge of Australian securities markets and AFSL obligations.
• Experience with market integrity, best execution, and post-trade surveillance is desirable.
• Experience delivering compliance monitoring, incident assessments, and regulatory remediation.

Responsabilités

• Develop risk-based compliance plan and manage delivery of activities.
• Assess incidents and breaches; track reporting deadlines; escalate where needed.
• Provide practical guidance to maintain sustainable compliance with regulations.
• Maintain and improve the compliance framework and obligations register.
• Identify regulatory changes and implement responsibilities with business owners.
• Support policy development and operating procedures.
• Provide timely feedback to stakeholders and escalate unresolved matters.
• Contribute to compliance learning and development across AUSIEX.
• Deliver or oversee market compliance monitoring including trade surveillance and regulatory reporting.
• Prepare clear reporting for GM and governance forums on material risks.

Connaissances

Compliance experience

Australian markets knowledge

Regulatory reporting

Stakeholder engagement

Audit/monitoring

Formation

Tertiary qualification in business, finance or risk management

Description du poste

AUSIEX is seeking a Compliance Manager/Senior Compliance Manager in Sydney to lead day-to-day compliance within delegated authority. You will collaborate with the GM of Legal, Risk and Compliance to deliver independent advice and challenge while supporting the business in meeting regulatory obligations.

We value strong knowledge of Australian securities markets, practical monitoring experience, and the ability to drive improvements across the risk and compliance framework.