Senior Line 1 Risk and Compliance Partner

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. 

The Line 1 Risk and Compliance team within the Risk division, supports the Risk Division in the day-to-day management of risk and compliance activities.

The team also assists in the embedment of ASX’s operational risk and compliance strategy, and the uplift of risk maturity within the Risk division.

Reporting into the General Manager, Risk Governance and Strategy, the Senior Line 1 Risk and Compliance Partner will be the central point of coordination for all risk management and compliance activities. They will be responsible for ensuring the effective operation and further embedding of risk and compliance practices, including the provision of risk and compliance advice, risk and compliance self-assessments, incident and issue management, control testing, and risk and compliance reporting. 

As a change leader and influencer, you will assist in embedding a robust risk and compliance culture and ensure that risk is considered in key operational and process design decisions.

• Primary support for General Manager, Risk Governance and Strategy in maturing Line 1 Risk and Compliance capability and practices within ASX’s Risk Division;
• Gain an in depth understanding of the Risk Division and become a trusted advisor to the Risk Leadership Team on risk, compliance and control related initiatives and improvements
• 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
• Work with key stakeholders within Risk and across the ASX to further embed the Operational Risk Management and Compliance Frameworks
• Coordinate and prepare the risk forum packs

• Gained experience in leading a Line 1 or Line 2 risk team preferably within the Financial Services Industry.
• Gained experience in risk and compliance assessments, control testing and issue and incident management
• Gained experience in providing risk advice on large, complex projects
• Demonstrated ability to grasps key concepts quickly and challenge the status quo
• 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
• Communication skills – excellent oral, written and presentation

• Strong operational process knowledge and experience within an exchange and / or trading environment    
• An understanding of key markets obligations e.g. Market Integrity, ASX Participant Compliance
• An understanding of financial risk and/or model risk
• Knowledge of BCP/disaster recovery frameworks

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.