Manager - Enterprise Risk & Compliance (Line 2)

ASX Limited; Australia Landing (MS); Hybrid; USD 104,000 - 146,000; Full time

Benefits offered by this job

Hybrid working options

Job summary

ASX is actively seeking a Risk and Compliance Manager to strengthen the Enterprise Risk & Compliance function. You will lead compliance initiatives, assess regulatory impacts, and help build a robust control environment across Line 1 businesses.

In this role, you will collaborate with executive leadership to shape strategic and operational plans, deliver training, and engage with regulators to ensure ongoing compliance with market infrastructure obligations.

Qualifications

• 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.

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

Skills

Compliance risk management

Breach assessments

Stakeholder communication

Regulatory engagement

Policy development

Education

Tertiary qualifications in business, commerce, legal

Tools

Governance Risk and Compliance tools

Data analytics 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. Want to know why we are a great place to work.

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, inspire giving and volunteering, and celebrate 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-knit 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 the 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. At ASX Group, our diverse workforce is essential to build and maintain a fair and dynamic marketplace. We support flexible working and offer hybrid working options. 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.