ASX: Powering Australia's financial markets Why join the ASX? 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 We are more than a securities exchange! 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 to foster a workplace where diversity is celebrated and inclusion is part of our everyday culture. Our employee-led networks champion LGBTIQ inclusion, promote gender equality, accessibility and wellbeing, inspire giving and volunteering, and celebrate cultural and religious events, creating a sense of belonging for all. As an AWEI Bronze employer and member of the Champions of Change Coalition for gender equality, we’re committed to a fair and inclusive workplace where everyone can thrive. About the team: ASX Compliance is the division responsible for the supervision of market participants and issuers listed on the exchange and is at the front line of ASX’s core license obligations to monitor and enforce the market’s operating rules that helps maintain a fair, orderly, transparent and efficient market—protecting not only the interests of investors but also the reputation of Australia’s financial system as a whole. Within the division, the Transformation and Operational Performance (TOP) team is a multi-disciplinary team of risk, process, systems, and data professionals that collectively enables the ASX Compliance division to achieve its strategic outcomes. The TOP team is responsible for designing, implementing and embedding continuous improvements to its operational and risk management practices. Reporting to the General Manager of Transformation and Operational Performance (TOP), the Line 1 Risk and Compliance Partner is an individual contributor role responsible for coordinating the effective operation and embedding of ASX’s operational risk and compliance frameworks and the uplift of risk and compliance management practices within the ASX Compliance division. The role will work closely with function’s leadership and management team and subject matter experts (SMEs) with primary focus on partnering and supporting the Participant Compliance team. The role may extend support for the Listings Compliance team. 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). Primary support for the General Manager, Transformation & Operational Performance, ASX Compliance in maturing Line 1 risk and compliance capability and practices within ASX Compliance function; responsible for driving and implementing risk and compliance management strategy, framework, maturity and practice across the group. Perform assessments of current and emerging risks to identify control weaknesses and inefficiencies and work with management to develop action plans to improve the control environment. Perform independent control testing in line with enterprise requirements to assess the ongoing design and operating effectiveness of our controls. Collaborate with risk and compliance colleagues to continuously improve regulatory and operational risk management and culture including alignment with best practice, industry standards, regulatory requirements and other enterprise requirements. Implement and evolve regulatory and operational risk management across ASX Compliance function, including developing and maintaining risk management and compliance policies and procedures and contributing to continual improvement of the governance, risk and compliance tools and related enterprise risk and compliance processes. Uplift and maintain risk maturity and data quality across the group including provision of feedback on remediation actions and key risk indicators. Lead and co-ordinate periodic internal and external risk and compliance assessment activities including regulatory compliance and other risk self-assessments. Lead and co-ordinate external assessments, audit engagement and issue and action resolution. Gain an in depth understanding of regulatory and operational risk processes to be able to effectively partner with and become a trusted advisor across the ASX Compliance function on risk, compliance and control initiatives and improvements. Provide input to Board reporting, regulatory reporting, and prepare information packs for risk working groups and meetings. Support development and rollout of risk governance education and awareness, and promote, champion and embed continuous improvement and adoption of best practice risk management. Identify and manage regulatory compliance obligations, internal policies and contractual frameworks relevant to the ASX Compliance function. Partner with the Enterprise Risk and Compliance, and other ASX teams to deliver an integrated approach to risk and compliance. What you will bring: Must have A tertiary qualification in business, finance, accounting, economics, law or related disciplines and/or at least 10 years’ relevant industry or professional experience, ideally with exposure to the workings of equity and derivative markets as well as clearing and settlement. This role would suit someone who has worked in a risk management capacity (line 1 or line 2) within a corporate/investment bank or other external-facing commercial disciplines. 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 relationships and manage a wide variety of stakeholders, specifically in a line 1 or line 2 risk management role. Conducted risk workshops and/or role-specific training and education. Experience in planning, collation, aggregation and facilitation of information and reporting (e.g. risk profiles, control testing, regulatory obligations, KRI reporting, issues, breaches etc.). Demonstrable experience in applying a program of minimum standards for effective risk management capability and associated best practice processes, ideally within financial services. Critical thinking with an analytical approach and ability to grasp key concepts quickly and be prepared to challenge the status quo. Excellent communication skills, with proven ability to influence and challenge at the most senior level Organised and diligent, with commitment to accuracy and quality. Nice to have: Strong knowledge of the workings of capital markets, corporate governance and transaction management activities related to listed equities and derivatives and clearing and settlement activities. Experience in delivering how line 1 function can demonstrate and evidence practical and reasonable steps to discharge their obligations under an accountability statement framework. Experience in undertaking self-assessments against regulatory obligations and managing a work plan to close gaps. Experience in a risk and/or compliance advisory environment to identify gaps and drive better practice. 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.
