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Compliance Director

2 weeks ago

Perth, Western Australia S&P Dow Jones Indices LLC. Full time

AUSIEX Perth, Western Australia, is a multinational trading technology powerhouse with over 25 years of experience in the local market.

About Us

We specialise in equities execution, clearing & settlement services, and equities administration for financial intermediaries. Our deep, local expertise delivers solutions that seamlessly connect clients to markets.

Our Mission

We're powered by Nomura Research Institute (NRI), a global leader in technology and operations services. We infuse NRI's proven technology capability and tradition of innovation, with our trusted trading solutions and local market expertise.

Career Development
  • Focusing on career growth opportunities.
  • Flexible work practices.
  • Financial wellbeing offerings/discretionary benefits including discounted staff trading rates, salary continuance insurance & novated leasing options.
  • A wide range of wellbeing offerings through our Employee Assistance Program.
Job Summary

The role will see you take the lead in delivering consistent and fit-for-purpose compliance management practices by executing the ongoing implementation of the Compliance & Risk Management Framework (CRMF).

Key Responsibilities
  • Providing advice regarding regulatory requirements related to existing operations and changes to operations or regulatory requirements.
  • Contributing to the execution of Compliance & Risk management, learning and development across AUSIEX.
  • Executing and maintaining the Compliance & Risk monitoring framework and reporting program.
  • Assisting in the execution of the compliance plan and performing monitoring and assurance testing with the plan.
  • Compliance assessments of incidents and, where applicable, reporting to applicable regulators (market participant and AFSL licensee breaches).
  • Providing the business with ongoing guidance and support to ensure sustainable compliance with relevant regulatory obligations, policies, and frameworks.
  • Executing compliance risk and control assurance activities and control testing, obligations management and assurance activities, such as trade monitoring.
  • Contributing to enhancing the existing compliance framework encompassing external regulatory compliance, specific advice on regulatory obligations and an understanding of the products and services.
  • Assisting in assessing the impact of legislative changes both past and present to ensure that the business units are fully informed and compliant.
  • Assisting in identifying and analysing the impact of new/proposed/amended laws, regulations, and industry codes for AUSIEX, and action plans to ensure compliance and manage implementation efforts.
  • Supporting the business with policy and operating procedures development.