Senior Manager, Risk & Compliance Advisory

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, click on the link to learn more.

www.asx.com.au/about/careers/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.

The Enterprise Risk and Compliance team sits within the 2nd Line Risk division, with accountability for all Risk and Compliance activity across ASX. The Risk and Compliance Advisory team operates as a second‑line function, responsible for the design and maintenance of Enterprise Risk Management Frameworks (ERMF) and Policies (including Compliance), Risk Culture, Policy Governance, Risk Capability and Accountability Frameworks to Industry and regulatory best practice standards with particular emphasis reflecting ASX’s role as a steward of Critical Market Infrastructure.

Your responsibilities

As a key influencer across ASX, driving the Risk and Compliance Advisory agenda, you will be responsible for demonstrating senior leadership capability through influence and challenge, this will include:

• Help turn strategy into clear, practical direction. Look across the business, bring in external thinking, and question current approaches to help identify better ways of working and improved outcomes.
• Focus effort on what matters most and follow through. Support clear priorities, take responsibility for your part of delivery, and step in early to resolve issues or risks that could affect outcomes.
• Support others to do their best work. Share expertise, coach informally, and contribute to an inclusive and safe environment where people feel confident to speak up, learn and make decisions.
• Build strong, trusted working relationships. Work openly and collaboratively, listen to different perspectives, and influence outcomes through credibility and constructive challenge rather than authority.
• Strengthen governance and risk culture through everyday influence. Contribute to clear ways of working that support effective risk and compliance outcomes, and role-model good risk awareness and accountability across the Risk function and with Line 1.

Role specific

• Support the continuous improvement and implementation of a consistent approach to the identification, assessment and monitoring of key risks and compliance obligations across the Divisions and functions in the ASX.
• Support and advise on the Divisions risk and compliance maturity by supporting the ongoing implementation and uplift of the risk and compliance frameworks including the ERMF (including Compliance), Risk Culture, Policy Governance, Risk Capability and Accountability Frameworks.
• Provide support and guidance to Line 1 in their development of procedures, controls and approaches to compliance, including where there are changes to the business whether driven by internal requirements or external requirements i.e. regulatory change.
• Provide advice, independent review and challenge of key risk and compliance activities including for example L1 risk profiles, incidents and breaches, root cause analysis and risk class assessments.
• Support the Lead Line 2 Risk Business Partners facing into each Division.
• Support material issues and incident management, business changes and commitments impacting the risk and compliance framework resulting from audits, regulatory authorities, self-identified and 2nd line identified issues.
• Deliver and execute the 2nd Line Division level risk and compliance monitoring activities.
• Support the ongoing application and maturity of the ERMF including the target state risk culture.
• Manage the risk and compliance incident and breach management Standard and process ensuring continuous improvement in associated incident management processes.
• Deliver Line 2 Division level reporting on ERMF maturity, risk and compliance insights, Line 2 monitoring and deep dives as required.

Your experience and qualifications

Must have

• A tertiary qualification in a relevant discipline (e.g. risk management, compliance, law, finance, economics, or a related field).
• 7+ years experience in risk management and/or regulatory compliance, including the ongoing uplift of the design and execution of enterprise risk strategies within complex, matrixed financial services organisations.
• Senior expertise in risk management concepts, frameworks, and tools, with a proven ability to identify, assess and manage key non-financial risks across an enterprise environment including incident and breach management.
• 7+ years Risk and Compliance capability, with demonstrated experience providing advice, insight and challenge across risk management, financial markets, large-scale project delivery, and regulatory remediation programs.
• Demonstrated ability to clearly articulate risk and compliance matters to positively influence risk culture and behaviours.
• Experience engaging with and managing Division and Enterprise level committees, working group and governance forums, including the ability to engage discussion, outcomes and support informed decision making.
• Facilitation, influencing and negotiation skills, developed trusted and collaborative relationships across stakeholder groups, subject matter experts, and leaders.
• Experience improving Operational Risk environments and culture.

Nice to have

• Legal expertise in financial or similar Industry
• Experience in large scale Enterprise-wide risk transformations.
• Experience in different elements of the 3 lines of defence and with different elements of the ERMF including compliance

We make hiring decisions based on your skills, capabilities and experience, and how you’ll help us to live our values. We encourage you to apply even if you don’t meet all the criteria of this role.

If you need any adjustments during the application or interview process to help you present your best self, please let us know at careers@asx.com.au.

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. Even if our roles are advertised as full-time, we encourage you to apply if you are interested in part-time or other flexible working arrangements.

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.