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
Solid 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 quick‑paced financial markets settings and excel at driving risk maturity and compliance excellence, we’d love to hear from you.
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📌 Senior Compliance Manager Financial Markets New South Wales (Australia)
🏢 JS Careers
📍 Australia