AddressWith over 25 years of experience in the local market and the backing of a multinational trading technology powerhouse, we’re AUSIEX. We specialise in equities execution, clearing & settlement services, and equities administration for financial intermediaries. Since 1994, we’ve used our deep, local expertise to deliver solutions that seamlessly connect our clients to markets. We are powered by Nomura Research Institute (NRI), a global leader in technology and operations services. We’re infusing NRI’s proven technology capability and tradition of innovation, with our trusted trading solutions and local market expertise.
Why people love working at AUSIEX
- Focus on career development and growth opportunities.
- Flexible work practices including work from home.
- Financial wellbeing offerings/discretionary benefits offerings.
- A wide range of wellbeing offerings through our Employee Assistance Program.
What will you be doing:
This is a fantastic opportunity to join a great team for a 12 month max term contract.
Reporting into a highly experienced and supportive Senior Compliance Manager, the purpose of the role is to take the lead in delivering to the business consistent and fit for purpose compliance management practices by executing the ongoing implementation of the Compliance & Risk Management Framework (CRMF). The Risk & Compliance function is accountable for the oversight and maintenance of the CRMF within AUSIEX. This includes, but is not limited to, the facilitation of business unit compliance with regulatory requirements, policies and methodologies, appropriate use of tools and systems to measure, manage and report compliance risks and incidents, and the provision or training material in relation to the RCMF.
Day to day you will:
- Assist in the advice regarding regulatory requirements related to existing operations and changes to operations or regulatory requirements, which affect AUSIEX’s business. Take appropriate actions to ensure ongoing compliance where necessary.
- Contribute to the execution of Compliance & Risk management, learning and development across AUSIEX.
- Execute and maintain the Compliance & Risk monitoring framework and reporting program including maintenance of compliance and risk management monitoring to agreed schedules.
- Assist in the execution of the compliance plan by the Compliance Team and perform monitoring and assurance testing in accordance with the plan.
- Compliance assessments of Incidents and, where applicable, report to applicable regulators (market participant and AFSL licensee breaches).
- Provide the business with ongoing guidance and support to ensure sustainable compliance with relevant regulatory obligations, policies, and frameworks.
- Execute compliance risk and control assurance activities and control testing, obligations management and assurance activities, such as trade monitoring.
- Contribute to enhancing the existing compliance framework encompassing external regulatory compliance, specific advice on regulatory obligations and an understanding of the products and services.
- Assist in assessing the impact of legislative changes both past and present to ensure that the business units are fully informed and compliant.
- Support the business with policy and operating procedures development.
- Provide constructive feedback to stakeholders in a professional manner.
- Contribute to the ongoing enhancement of compliance management, learning and development across AUSIEX.
- Assist in identifying and analysing the impact of new/proposed/amended laws, regulations, and industry codes for AUSIEX, and action plans to ensure compliance and manage implementation efforts.
- Drive uplift and continual improvement across the business.
- Personally, role model the leadership behaviours required of our leaders and lead through our Values, leading with passion and initiative.
- Effective and constructive contribution to the AUSIEX Risk and Compliance function.
- Proactively seek opportunities to simplify risk and compliance frameworks, policies, and processes to drive the effectiveness and efficiency of the Risk Management function.
We’re interested in hearing from people who have:
- 5+ years working in Compliance management in a stockbroking or financial institution.
- Understanding of Australian securities markets, including the ASIC Market Integrity Rules.
- Understanding of ASX trading, trade surveillance and best execution obligations would be an advantage.
- Strong knowledge and experience in managing local regulatory requirements.
- Sound general knowledge of financial markets, products, and broking.
- Working knowledge and experience with the Corporations Act requirements and obligations (including relevant ASIC Regulatory Guides), as this relates to the provision of financial services by Australian financial services licensees (particularly related to stockbroking).
- Understanding of risk management frameworks.
- Ability to research laws and regulations and provide advice on the applicability within a given environment.
- Strategic and analytical thinking and solid business acumen.
- Ability to work independently with strong time management skills.
- Tertiary qualification (business, finance, law, or risk management) or equivalent industry certification are required.
- Strong verbal and written communications skills
- Risk Mindset – All AUSIEX employees are expected to proactively identify and understand, openly discuss, and act on current and future risks.
- We want to help grow your skills and develop your career with us!
What the Job Offers:
- Stakeholder Management– Developing and maintaining strong relationships with internal and external stakeholders.
- Accountability– Managing and/or implementing key deliverables, applying excellence, representing the Compliance Team in cross-business project teams, influencing, and negotiating with others.
- Problem solving– Making decisions and solving problems to achieve optimal outcomes – acting as a self-starter, bringing a range of options and a recommended solution, rather than simply escalating a problem.
- Technical challenge– This is an exciting, but high intensity environment – you will need to display composure and have the ability to find an effective work/life balance.
If this sounds like you – apply today!
Inclusion and diversity are part of who we are. Together, we continue to build an inclusive culture that enables, values, and celebrates the diverse opinions of our employees.
If you need assistance or adjustments to fully participate in the application/interview process, please contact *******@ausiex.com.au.
Visit us on www.ausiex.com.au or on LinkedIn.
