Executive Manager Compliance, CommSec
Do work that matters
As Executive Manager Compliance, you will lead the oversight and continuous improvement of CommSec's compliance framework across its distribution businesses.
You'll provide strategic compliance advice, oversee the compliance profile, deliver regulatory change and assurance activities, and support the business in meeting its obligations. Through your leadership of the team, you'll help strengthen compliance capability and support informed decision-making across CommSec.
See yourself in our team
CommSec Risk Management is part of Business Banking Risk Management within CBA Risk Management and provides independent oversight across Compliance, Operational Risk and Market & Liquidity Risk.
As a senior leader within the CommSec Compliance team, you'll partner with stakeholders across CommSec and Group Compliance to deliver effective governance, oversight and compliance risk management across the business.
Your day could look like (but not limited to):
- Leading the Compliance team supporting CommSec’s distribution businesses.
- Interpreting and advising on technical obligations, including: ASIC Market Integrity Rules; ASX Operating, Settlement, Clear Rules; TMX Operating Rules; and, Licensing.
- Compliance framework responsibilities, including: compliance incident assessments, Compliance Self-Assessments, regulatory change, and overseeing the management of compliance issues and incidents.
- Leading and coordinating complex regulatory submissions including breach reports, responses to regulatory requests / notices.
- Leading delivery of regulatory change initiatives.
- Planning, scoping and executing Line 2 Assurance reviews and monitoring.
- Providing strategic compliance advice, ensuring regulatory obligations, licensing requirements and customer expectations are appropriately considered.
- Partnering with the business to develop compliant-by-design solutions that address regulatory obligations, licensing requirements, Group compliance policies and customer and community expectations.
What we're looking for
We're looking for an experienced compliance leader who brings sound judgement, an inclusive leadership approach, and the ability to build trusted relationships across a complex stakeholder environment.
You will bring:
- Extensive Line 2 Compliance experience within financial services, exchanges, or a legal or regulatory environment. Experience in stockbroking or capital markets will be highly regarded.
- Experience leading and developing teams within financial services, compliance, risk, regulatory or legal functions.
- Strong knowledge of compliance frameworks, regulatory change, policy development, licensing obligations and governance reporting.
- Strong understanding of Australian retail stockbroking and capital markets, including equities, derivatives, margin lending, and retail and wholesale customer segments, or the ability to quickly build expertise in these areas.
- Familiarity with and knowledge of ASIC Market Integrity Rules, ASX Operating, Settlement, Clear Rules and TMX Operating Rules will be highly regarded.
- Demonstrated ability to translate complex regulatory requirements into clear, practical and commercially appropriate advice.
- Experience engaging with regulators, exchanges and external stakeholders.
- A curious and data-informed approach, with the ability to identify emerging compliance risks, themes and opportunities for continuous improvement.
- Strong written and verbal communication skills, including the ability to communicate effectively with executive and board-level stakeholders.
- A tertiary qualification in law, finance, business or a related discipline.
At CommBank, we're committed to creating an accessible, inclusive and respectful workplace. If you require support or adjustments, please let us know. We welcome applications from people of all backgrounds and we're particularly committed to making a positive difference for Aboriginal and/or Torres Strait Islander Peoples. For support please contact 1800 989 696.
If you're already part of the Commonwealth Bank Group (including Bankwest, x15ventures), you'll need to apply through Sidekick to submit a valid application. We’re keen to support you with the next step in your career.
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Skills Required
- Extensive Line 2 compliance experience in financial services, exchanges, or a legal or regulatory environment
- Experience leading and developing teams within financial services, compliance, risk, regulatory, or legal functions
- Strong knowledge of compliance frameworks, regulatory change, policy development, licensing obligations, and governance reporting
- Strong understanding of Australian retail stockbroking and capital markets, including equities, derivatives, margin lending, and retail and wholesale customer segments, or ability to quickly build expertise
- Knowledge of ASIC Market Integrity Rules, ASX Operating, Settlement and Clear Rules, and TMX Operating Rules
- Ability to translate complex regulatory requirements into clear, practical, commercially appropriate advice
- Experience engaging with regulators, exchanges, and external stakeholders
- Curious and data-informed approach to identifying emerging compliance risks, themes, and improvement opportunities
- Strong written and verbal communication skills, including communication with executive and board-level stakeholders
- Tertiary qualification in law, finance, business, or a related discipline
Commonwealth Bank Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Commonwealth Bank and has not been reviewed or approved by Commonwealth Bank.
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Leave & Time Off Breadth — The bank offers additional Life Leave, the option to purchase up to four extra weeks, pet leave, and paid volunteering leave alongside flexible-working options. Public materials indicate these leave features compare well within Australian banking.
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Parental & Family Support — Permanent employees can access up to 18 weeks of paid parental leave, and superannuation is paid for up to 34 weeks of unpaid parental leave. These provisions extend support for new parents beyond standard settings.
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Wellbeing & Lifestyle Benefits — Access includes CBHS Health Fund, Fitness Passport, a 24/7 wellbeing platform with telehealth, an Employee Assistance Program, and employer‑paid income protection for up to two years, alongside staff banking perks and share plans. This combination provides day‑to‑day value across health, protection, and financial perks.
Commonwealth Bank Insights
What We Do
Australia’s leading provider of financial services including retail, premium, business and institutional banking, funds management, superannuation, insurance, investment and sharebroking products and services. We are a business with more than 800,000 shareholders and over 52,000 employees. We offer a full range of financial services to help all Australians build and manage their finances.
