Senior Operational Risk & Compliance Manager - Stockbroker
We are seeking a seasoned Senior Operational Risk & Compliance Manager with strong experience supporting financial markets businesses. In this leadership role, you will oversee the organisation's operational risk and compliance frameworks, ensuring robust second‐line oversight across trading, markets operations, technology, outsourcing, and key control functions. You will play a critical role in strengthening risk culture and ensuring adherence to regulatory obligations, including those relevant to markets activities.
Responsibilities:
* Lead and enhance the operational risk framework across financial markets and broader business operations, including RCSAs, KRIs, and incident/loss event management
* Oversee operational resilience and business continuity planning, with a focus on market‐related disruption scenarios
* Manage third‐party and outsourcing risk assessments, including market‐critical vendors
* Provide expert compliance advisory on ASIC, AUSTRAC, and financial‐market‐specific obligations
* Monitor regulatory change across markets, trading, and financial crime landscapes
* Prepare high‐quality operational risk and compliance reports for senior management and governance forums
* Lead Line 2 assurance on market-related risks, controls, and new product/service initiatives
* Drive risk culture uplift across trading, operations, and supporting teams
What we're looking for:
* 7+ years' experience in financial services, ideally with direct exposure to financial markets, trading, treasury, or markets operations
* Strong understanding of operational risk frameworks and controls within markets environments
* Knowledge of regulatory obligations relevant to financial markets (ASIC, AUSTRAC, market conduct, operational resilience)
* Strong analytical and communication skills, with the ability to influence senior markets and stakeholders
* Tertiary qualifications in business, finance, law, risk management, or similar
If you thrive in fast‐paced financial markets environments and excel at driving risk maturity and compliance excellence, we'd love to hear from you.
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