Manager - Compliance Advice, Frameworks & Policies – Enterprise Compliance

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 team:

This role is responsible for the ongoing support, implementation and continuous improvement of the  ASX enterprise compliance framework and methodology, to help ensure compliance across ASX. 

This is an exciting opportunity for a talented compliance manager to substantively contribute to the Compliance Advice, Frameworks and Policies team within ASX’s Enterprise Compliance Function. The Enterprise Compliance function at ASX is comprised of a small, close nit team who work collaboratively to drive significant change to deliver a high performing risk and compliance culture. This role will support the Senior Manager, Compliance Advice, Frameworks and Policies in delivering key compliance objectives to help ASX achieve a robust compliance management framework and meet other regulatory objectives. 

What you will be doing:

How we do things at ASX is just as important as what we do. This means, if you're a people leader, you will be responsible for both the core duties outlined below, and providing leadership to your team to ensure we foster a collaborative, inclusive team environment, where people feel empowered, accountable, and deeply connected (as outlined in our Leadership Principles).

• Be responsible for development, implementation and ongoing continuous improvement of the ASX enterprise compliance framework and methodology for compliance across ASX

• Proactive assistance and advice across ASX 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

• Work closely with Line 1, 2 and 3 management to embed and enhance a high performance risk and compliance culture

• Conduct compliance reviews and testing across ASX, monitor findings from compliance reviews and testing and assist Line 1 with implementation of remedial actions

• 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

What you will bring:

Must have

• Substantial experience in a Compliance, Risk or Audit role, ideally in the financial services sector

• Contributed to the implementation and maintenance of compliance frameworks

• Performed compliance reviews, testing programs or audit programs

• 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 government bodies and international / domestic regulators at a senior level, achieving outcomes beneficial to the organisation and to its reputation for integrity

• Had previous experience using Governance Risk and Compliance tools

• Experience in a data/analytics driven environment

• 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. 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.