Risk and Compliance Partner (Practise Lead)

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. 

Key purpose of the role:

The Line 1 Risk and Compliance team within the Finance and Corporate Affairs, People and Culture and Office of General Counsel divisions support the day-to-day management of risk and compliance activities and assists in the embedment of ASX’s operational risk and compliance strategy and the uplift of risk maturity within the Risk division

Your Team

You will work closely with line 1 business SMEs, General Managers and Executive Management, and will be the central point of coordination for all risk management and compliance activities, including promoting risk and compliance awareness, assessing current and emerging risks, ensuring completion of control improvement action plans to address risk exposure, control gaps, issues, incidents and breaches.

Your responsibilities

• As a People Leader at ASX, you will not only be responsible for the core duties outlined below, but also for providing leadership, mentoring team members, and fostering a collaborative, inclusive team environment that encourages innovation and accountability (as articulated in our Leadership Principles).
• Primary support for multiple General Managers in maturing Line 1 Risk and Compliance capability and practices within ASX’s Markets line of business; responsible for driving and implementing risk and compliance management strategy, framework, maturity and practice across multiple divisions
• Become a trusted advisor to the Finance and Corporate Affairs, People and Culture and Office of General Counsel Business teams and SLT on risk, compliance, risk in change and control initiatives and improvements
• Collaborate with risk and compliance colleagues to continuously improve risk management and culture including alignment with best practice, industry standards, regulatory requirements and other enterprise requirements
• Uplift and maintain risk maturity and data quality across the group including provision of feedback on remediation actions
• Work with key stakeholders within Risk and across the ASX to further embed the Operational Risk Management and Compliance Frameworks
• Lead and co-ordinate risk and compliance assessment activities (including control testing and reasonable steps assessments) and work with management in developing action plans to improve the control environment
• Provide input to Board reporting, regulatory reporting, and prepare information packs for risk working groups and meetings

Your experience and qualifications

Must have

• Experience in leading a Line 1 or Line 2 risk team preferably within the Financial Services Industry.
• Developed, designed and implemented functional risk and compliance management within the parameters of broader Enterprise Risk and Compliance frameworks, policies, practices and capabilities
• Demonstrated ability to build strong internal relationships and collaborate and work effectively across teams
• Ability to effectively plan and prioritise work, a demonstrated ability to deliver to deadlines
• Experience in planning, execution, collation, aggregation and facilitation of activities and associated reporting (e.g. risk profiles, control testing, regulatory obligations, KRI reporting, issues, breaches etc.)
• Communication skills – excellent oral, written and presentation including management and board reporting
• Strategic thinker, with an ability to grasps key concepts quickly and be prepared to challenge the status quo

Nice to have

• Experience of self-assessment against regulatory obligations, and managing a work plan to close gaps
• Experience in supporting corporate services functions
• Experience in providing risk advice on large, complex projects

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.