Head of Risk and Compliance Advisory

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 manageme

Benefits

Additional Information

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. 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.

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