Head of Risk and Compliance Advisory

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 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.

The Enterprise Risk and Compliance team sits within the 2nd Line Risk division, with accountability for all Risk and Compliance activity across ASX. The Risk and Compliance Advisory team operates as an independent second‑line function, responsible for the advice, insights and challenge into each of the ASX Divisions through the effectiveness and maturity of their application of the Enterprise Risk Management Frameworks (ERMF) and Policies (including Compliance), to Industry and regulatory best practice standards with particular emphasis reflecting ASX’s role as a steward of Critical Market Infrastructure.

Your responsibilities

Senior leadership

As a people leader, a core part of this role will be the responsibility to role model the ASX Leadership Principles. Including:

• Shape a dynamic future: Translate strategy into clear direction, take an enterprise/system view, integrate external insights, and challenge the status quo to identify opportunities for innovation and value creation.
• Enable exceptional outcomes: Set clear priorities, pursue goals with discipline, and take ownership and accountability for delivery and overall performance.
• Empower talented people: Build and develop diverse, capable teams through coaching and inclusivity—creating an environment that enables autonomy, growth and psychological safety.
• Build trusted relationships: Exemplify open, honest and consultative leadership—listening with empathy and building collaborative partnerships across ASX and with external stakeholders.

As a senior leader within Risk, you will also be responsible for:

• Establishing a governance structure that enables the team at all levels to effectively manage outcomes required of the team across a diverse group of stakeholders including the Line 1, and
• Improving the operational risk and compliance environment and culture within your direct team, and across the wider Risk division.

Role specific

• Lead the development and implementation of a consistent approach to the identification, assessment and monitoring of key risks and compliance obligations across ASX.
• Drive risk and compliance maturity by leading the ongoing implementation and uplift of the risk and compliance frameworks including the ERMF (including Compliance), Risk Culture, Policy Governance, Risk Capability and Accountability Frameworks.
• Provide support and guidance to Line 1 in their development of procedures, controls and approaches to compliance, including where there are changes to the business whether driven by internal requirements or external requirements i.e. regulatory change.
• Lead a team of risk and compliance advisors to provide expert advice, on all material non-financial risk classes and compliance obligations support.
• Provide advice, independent review and challenge of key risk and compliance activities including for example L1 risk profiles and risk class assessments.
• Be the specific and direct business partner to the ASX Technology Division and the Technology and Data Division.
• Support material issues and incident management, business changes and commitments impacting the risk and compliance framework resulting from audits, regulatory authorities, self-identified and 2nd line identified issues.
• Design and execute the 2nd Line Division level risk and compliance monitoring activities.
• Support the ongoing application and maturity of the Enterprise Risk Management Framework including the target state risk culture.
• Manage the risk and compliance incident and breach management Standard and process ensuring continuous improvement in associated incident management processes.
• Drive continuous improvement in the application of the Enterprise Risk Management Framework, methodology and reporting through risk insights, Line 2 monitoring and deep dives as required.
• Monitor compliance to the Enterprise Risk Management Frameworks including the issue and incident management within all Line 1.

People

• Lead and coach team members to continuously develop capability, build high performing, collaborative and engaged teams, enabled by robust talent and development plans, balanced performance priorities and roles descriptions.
• Establish a governance structure that enables the team at all levels to effectively manage outcomes required of the team across a diverse group of stakeholders including the Line 1.

Your experience and qualifications

Must have

• A tertiary qualification in a relevant discipline (e.g. risk management, compliance, law, finance, economics or a related field).
• Extensive senior level experience in risk management and regulatory compliance, including the design and execution of enterprise risk strategies within complex, matrix financial services organisations.
• Extensive experience in Cyber, Technology, Information Security and Data risk management.
• Deep expertise in risk management concepts, frameworks and tools, with a proven ability to identify, assess and manage key non financial risks across an enterprise environment.
• Advanced compliance capability, with demonstrated experience providing high quality advice, insight and challenge across risk management, financial markets, large scale project delivery and regulatory remediation programs.
• Demonstrated ability to clearly articulate complex risk and compliance matters to audiences at all levels, including executive leadership and boards, and to positively influence risk culture and behaviours.
• Proven experience engaging with and managing executive level steering committees and governance forums, including the ability to shape discussion, drive outcomes and support informed decision making.
• Strong facilitation, influencing and negotiation skills, with a track record of building trusted, collaborative relationships across diverse stakeholder groups, subject matter experts and senior leaders.
• Experience improving Operational Risk environments and culture, and large-scale enterprise-wise risk transformations.

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 [email protected].

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.

To be considered for this position, candidates must be legally authorised to work in Australia on a permanent basis without any restrictions.