Manager - Audit, Training and Optimisation

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.

In 2025, we expanded our group by welcoming FIIG Securities, a respected Australian fixed income specialist with over 25 years of experience. FIIG Securities manages billions under advice and serves 6,000 private clients, providing investors with access to expert insights and investment opportunities across the fixed income asset class. Their focus on delivering consistent, reliable income and capital stability perfectly complements our service offering. 

See yourself in our team

The Strategic Relationships team is responsible for all aspects of key wholesale and Advised client management including identifying new business opportunities, deepening existing relationships through up-selling and cross-selling, commercial analysis of the performance of existing and new business relationships, and measurement and reporting of service levels. The team is also responsible for our Customer Service team, including our contact centre for retail and Advised clients.

The role is designed to lead and manage change initiatives that directly impact front-line teams. This role ensures that changes are implemented smoothly, operational risks are minimised, and consistent high customer service standards and compliance with regulatory standards are maintained. By aligning processes and systems with organisational goals, this role will help improve efficiency, reduce costs, and drive revenue generation.

Additionally, this role is responsible for introducing the automation of Quality Assurance (QA) for customer interaction reviews, ensuring greater efficiency and accuracy.

To maximise cross-departmental alignment, this role will facilitate training for other business units outside of Strategic Relationships, to provide a clear understanding of the stock market industry and customer needs. This will drive efficiency, foster collaboration, and ensure all teams are equipped to support the business effectively.

What will you be doing 

This role is based in Sydney and will have accountability for:

Change Management:

• Develop and implement change management strategies to facilitate the adoption of new processes, systems, and policies by front-line teams.
• Conduct impact assessments to understand how changes affect front-line operations and address potential challenges proactively.
• Design and deliver training programs to equip front-line staff with the necessary skills and knowledge to adapt to changes.
• Act as a liaison between management and front-line teams to ensure clear communication and alignment during change initiatives.

Risk Management:

• Identify, assess, and monitor risks associated with front-line operations, including trading activities, customer interactions, and compliance adherence.
• Develop and implement risk mitigation strategies to minimise potential breaches and operational disruptions.
• Review and analyse DTRs' manual order tickets to ensure compliance with regulatory standards and internal policies, maintaining a manual review process to address the critical importance of these transactions.
• Manage front-line incident reporting processes, ensuring timely escalation and resolution of identified risks or breaches.

Optimisation:

• Collaborate with cross-functional teams to identify opportunities for process enhancements that improve efficiency and reduce risk exposure.
• Develop, update, and maintain standard operating procedures (SOPs) to reflect best practices and regulatory requirements.
• Lead initiatives to uplift existing processes, ensuring they are robust, efficient, and aligned with organisational goals.

Training and Development:

• Oversee the induction process for new employees, ensuring they are well-versed in product knowledge, company policies, procedures, and compliance requirements.
• Manage the capability framework for front-line staff, ensuring continuous development and upskilling opportunities are available.
• Review and enhance training materials to ensure they are current, relevant, and effective in meeting learning objectives.
• Facilitate tailored training sessions for all business units, to deepen their understanding of product, customer needs, front-line operations (including systems), processes, and challenges. This will foster inter-departmental collaboration, improve productivity, and ensure efficient support for front-line teams.

We'd love to hear from passionate people who have:

To succeed in this role, you will bring:

• Tertiary qualifications in business, economics or business-related discipline are desired however not essential.
• Strong commercial acumen.
• Previous experience in the financial services industry particularly share trading and portfolio management.
• Proven experience in training facilitation
• Ability to effectively present information and respond to questions from senior internal and external management.
• Exceptional communication and presentation skills · Strong organisational skills & a close attention to detail

We want to help grow your skills and develop your career with us If this sounds like you – apply today 

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. 

If you need assistance or adjustments to fully participate in the application/interview process, please contact   

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