Line 1 Risk and Compliance Manager - 12 Month Max Term

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

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 of the diversity of our organisation and the culture of inclusion that all our people help to build every day. Our employee-led groups are known for celebrating cultural and religious events, championing LGBTIQ+ inclusion (recently achieving AWEI Bronze), inspiring giving and volunteering, promoting gender equality, and wellbeing.  We are an Employer of Choice for Gender Equality (WGEA) and a member of the Champions of Change Coalition for the advancement of gender equality in Australia. 

About The Role:

The Risk and Compliance Manager is part of a Line 1 Risk function that supports multiple divisions across ASX. The Lines of Business covered are Finance and Corporate Affairs, People and Culture and the Office of General Counsel.

This role is responsible for supporting the Line 1 Risk & Compliance Partner in continuously improving risk and compliance maturity.

What You Will Do:

• Perform risk and control assessments for current and emerging risks to identify control weaknesses and inefficiencies and work with management to develop action plans for improvements
• Collaborate with the business SMEs to develop and implement risk management strategies and supporting 1st line in prioritisation of risk mitigation
• Maintain oversight of the Governance, Risk and Compliance tool to ensure data quality and completeness and assist with monitoring & reporting
• Gain an in depth understanding of business processes to be able to effectively partner with and become a trusted advisor to the divisions on risk and control initiatives and improvements
• Execute control testing and work with colleagues to improve the control environment and approach to testing
• Partner with the Enterprise Risk Management, Project Risk Management and Enterprise Compliance teams to deliver an integrated approach to risk and compliance

Your experience and qualifications

Must have

• Worked in line 1 or 2 Risk and Audit functions in Financial Services or first tier consulting firm(s)
• Experience in designing and testing controls through internal control assurance, regulatory and/or internal audits
• Demonstrated ability to build strong relationships and manage a wide variety of stakeholders, specifically in a line 1 or line 2 risk management role
• Experience in planning, collation, aggregation and facilitation of information and reporting (e.g. Risk assessments, control testing)
• Gained experience in root cause analysis and critical thinking
• Communication skills – excellent oral, written and presentation

Nice to have

• Experience interacting with Executive Management
• Exposure to risk transformation or regulatory remediation programs
• Best practice risk and compliance framework knowledge and experience
• Experience working in Corporate Services divisions (Finance, Legal, People & Culture/HR)

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 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.