Company Overview
We are AUSIEX With 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.
About the Team
The Risk & Compliance team at AUSIEX plays a critical role in supporting the business to operate safely, responsibly, and in line with regulatory expectations. We work in close partnership with teams across the organisation to provide clear, practical risk advice and insights. Our team is solutions-focused, collaborative, and committed to building a strong risk culture that supports strategic and operational objectives.
Role
This role is based in Sydney or Brisbane and will have accountability for:
* Experienced Risk management professional to be support the AUSIEX Business and Risk & Compliance outcomes.
* Serve as deputy to the Senior Manager for Risk.
* Contribute to the development of Risk management, learning and development across AUSIEX.
* Execute and maintain the risk-management framework and reporting including matters out side of AUSIEX's risk appetite.
* Advise management of changes to regulations which affect customers and take appropriate actions to ensure ongoing compliance where necessary.
* Evaluate and advise on potential Risks and/or issues in relation to product/process change initiatives and reviews.
* Provide advice and support to the AUSIEX business, including the identification and analysis of the impact of new, proposed or amended processes in AUSIEX, and recommend actions plans to ensure risks are appropriately mitigated.
* Evaluate and provide advice, in support of regulatory engagement, to the business on risk issues and incidents, including managing any escalation.
* Provide quality risk advice on strategy, products, channels and relationships to stakeholders and facilitate relevant risk assessments/reviews as required.
* Participate in forums with the business to identify and discuss thematic trends in the business and provide guidance on matters that impact decision-making.
* Contribute to the development of risk management, learning and development across AUSIEX.
* Identify and analyse 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.
Qualifications & Experience
* 10+ years working in Risk Management preferably within stockbroking or 5+ years financial services.
* Deep understanding of operational risk, product risk, regulatory risk, and general business.
* Experience in design and execution of risk monitoring programs.
* Sound general knowledge of financial markets, & products.
* Strong analytical thinking and solid business acumen.
* Strong experience and stakeholder management.
* Ability to work independently with strong time management skills.
* Strong verbal and written communications skills with ability to present to Senior Management.
* Tertiary qualification (business, finance, governance or risk management) or equivalent industry certification are required.
* Risk Mindset - All AUSIEX employees are expected to proactively identify and understand, openly discuss and act on current and future risks.
* Experience in people management.
Growth & Benefits
We want to help grow your skills and develop your career with us! If this sounds like you - apply today!
Inclusion & Diversity
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.
Contact & Application
If you need assistance or adjustments to fully participate in the application/interview process, please contact .
Visit us on www.ausiex.com.au or on LinkedIn
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