Senior Operational Risk & Compliance Manager - StockbrokerWe 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 managementOversee operational resilience and business continuity planning, with a focus on market‐related disruption scenariosManage third‐party and outsourcing risk assessments, including market‐critical vendorsProvide expert compliance advisory on ASIC, AUSTRAC, and financial‐market‐specific obligationsMonitor regulatory change across markets, trading,



and financial crime landscapesPrepare high‐quality operational risk and compliance reports for senior management and governance forumsLead Line 2 assurance on market-related risks, controls, and recent product/service initiativesDrive risk culture uplift across trading, operations, and supporting teamsWhat we're looking for:7+ years' experience in financial services, ideally with direct exposure to financial markets, trading, treasury, or markets operationsStrong understanding of operational risk frameworks and controls within markets environmentsKnowledge of regulatory obligations relevant to financial markets (ASIC, AUSTRAC, market conduct, operational resilience)Solid analytical and communication skills, with the ability to influence senior markets and stakeholdersTertiary qualifications in business, finance, law, risk management, or similarIf you thrive in rapid‐paced financial markets environments 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
🏢 JS Careers
📍 New South Wales