Senior Compliance Manager, Financial Markets & Risk

AUSIEX; Sydney; Sur place; AUD 150 000 - 190 000; Plein temps

Résumé du poste

AUSIEX is seeking a Compliance Manager / Senior Compliance Manager to strengthen its Risk & Compliance team. Based in Sydney or Perth, you will oversee day-to-day compliance across allocated portfolios, escalate material issues, and provide independent advice with constructive challenge.

Appointment level reflects experience and leadership potential. Bring Australian regulatory knowledge, post-trade surveillance understanding, and a hands-on approach to deliver strong compliance outcomes aligned

Qualifications

• Relevant compliance experience in Australian financial services including practical experience within an Australian market participant, stockbroking or closely related securities business.
• Sound working knowledge of Australian securities markets and applicable regulatory obligations (ASIC/AFSL).
• Experience delivering compliance monitoring, advice, incident assessments, regulatory-change activities or remediation.

Responsabilités

• Develop and deliver compliance monitoring plans and assurance testing.
• Assess incidents, breaches and regulatory reporting requirements with timely escalation.
• Provide practical guidance to maintain compliance with regulatory obligations and internal policies.
• Maintain and improve the compliance framework and obligations register.
• Identify regulatory changes and coordinate implementation with business owners.
• Support policy development and operational procedures for clear controls.
• Deliver reporting to GM and governance forums on risks, findings and remediation.

Connaissances

Attention to detail

Stakeholder engagement

Written communication

Verbal communication

Risk management

Formation

Tertiary qualification in business/finance/law or risk management

Description du poste

AUSIEX is seeking a Compliance Manager / Senior Compliance Manager to strengthen its Risk & Compliance team. Based in Sydney or Perth, you will oversee day-to-day compliance across allocated portfolios, escalate material issues, and provide independent advice with constructive challenge.

Appointment level reflects experience and leadership potential. Bring Australian regulatory knowledge, post-trade surveillance understanding, and a hands-on approach to deliver strong compliance outcomes aligned