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 AUSIEX Risk &

- Compliance Team is a combined team of risk and compliance professionals, working closely with business units and executive management to deliver exceptional risk and compliance support.

AUSIEX Risk &
- Compliance provides independent advice, monitoring, oversight and challenge under AUSIEX’s Risk and Compliance Management Framework (RCMF). Business management remains accountable for compliance within its operations and for implementing and maintaining effective controls.

In delivering these services our key aim is to support AUSIEX to achieve its strategic goals including operating within AUSIEX’s risk appetite.

What Will You Be Doing

As Compliance Manager / Senior Compliance Manager, you will report to the GM of Legal, Risk and Compliance for AUSIEX. Appointment level will reflect your experience and demonstrated capability.

You will manage day-to-day delivery across your allocated compliance portfolio within approved delegations, with support and oversight from the GM. The GM retains functional leadership and strategic oversight. Material compliance concerns, potential reportable breaches, unresolved issues and resource constraints must be promptly escalated to the GM.

We welcome established Senior Compliance Managers and experienced Compliance Managers ready to take the next step. You will build productive relationships across AUSIEX and combine hands-on delivery with independent advice and constructive challenge. Your delegated authority and initial leadership responsibilities will reflect your capability, with scope to take on broader responsibilities as you develop in the role.

Responsibilities

Utilizing your natural strengths of exceptional attention to detail & ability to navigate through a fast-paced environment, this role is based in Sydney or Perth and will have accountability for:

- Contribute to the development of the risk-based compliance plan for GM approval, manage delivery of allocated activities, and deliver or review compliance monitoring and assurance testing to agreed quality standards.
- Assess incidents and potential breaches, track applicable reporting deadlines, promptly escalate concerns and coordinate regulatory notifications within approved delegations. Coordinate root-cause analysis,



remediation tracking and evidence-based closure validation.
- Provide practical guidance and support to help the business maintain sustainable compliance with relevant regulatory obligations, policies and frameworks.
- Maintain and improve the compliance framework and obligations register, and provide independent compliance advice and constructive challenge on existing operations, new products and material business changes.
- Identify regulatory changes, assess their impact, agree implementation responsibilities with business owners, and monitor and validate completion.
- Support business owners in developing and maintaining clear, practical policies and operating procedures.
- Provide timely, constructive feedback to stakeholders and work collaboratively to resolve compliance issues, escalating unresolved matters as appropriate.
- Contribute to compliance learning and development, knowledge sharing and the ongoing enhancement of compliance management across AUSIEX.
- Deliver or oversee market compliance monitoring within your remit, including trade surveillance, market-abuse risks, best execution and order handling. Apply appropriate investigation and quality-assurance standards and contribute to surveillance calibration governance.
- Prepare clear reporting for the GM and relevant governance forums on material compliance risks, monitoring findings, breaches and remediation; support or coordinate regulatory enquiries and independent compliance reviews within agreed authority.
- Identify and implement practical improvements that strengthen compliance outcomes and simplify processes across the business.

Contribution To Business

- Customer Service, Productivity &
- Data Quality - Translate regulatory requirements into practical advice on existing operations and business changes, supporting effective controls, reliable information and sustainable customer outcomes.
- AUSIEX Strategy &
- Risk Appetite - Support the delivery of AUSIEX’s strategy within its risk appetite through practical compliance advice, risk awareness and learning and development.
- Risk Culture &
- Risk Operating Model - Deliver allocated monitoring and reporting activities to agreed schedules, promote timely escalation and help embed clear ownership of compliance obligations and controls.

Leadership/Management
- Role model AUSIEX’s values, take ownership of your work and demonstrate initiative, sound judgement and constructive collaboration.
- Contribute effectively to the Risk and Compliance function, sharing knowledge and supporting colleagues’ development
- Seek opportunities to simplify frameworks, policies and processes while maintaining effective risk and compliance oversight.
- At Senior Compliance Manager level, operate with greater autonomy, lead complex compliance matters and cross-functional initiatives, and provide technical direction, work allocation, coaching and quality assurance. Direct people management may form part of the role where assigned. At either level, promptly escalate capability, capacity and coverage gaps to the GM.




- Adhere to the Code of Conduct and uphold the standards of behaviour, actions and decisions expected of all AUSIEX employees.

We’d love to hear from passionate people who have: Role To be considered for this rewarding role where you have the opportunity to contribute to AUSIEX’s goals as market leader, you will have:

- Relevant compliance experience in Australian financial services, including practical experience within an Australian market participant, stockbroking or closely related securities business. Appointment level will be based on demonstrated capability and readiness for the role, rather than a fixed number of years of experience.
- Sound working knowledge of Australian securities markets and applicable AFSL obligations, the Corporations Act, ASIC Act, ASIC Market Integrity Rules and relevant ASX and TMX operating rules, with the ability to deepen your expertise across the role’s remit.
- Knowledge and practical experience in market integrity, best execution, regulatory data and post-trade surveillance monitoring are highly desirable.
- Practical experience delivering compliance monitoring, advice, incident assessments, regulatory-change activities or remediation, with depth in one or more areas and the ability to broaden your expertise.
- Sound understanding of financial markets, products and broking, including trading-related compliance risks relevant to your experience.
- Ability to apply financial services obligations and relevant ASIC Regulatory Guides to practical business situations, particularly in a stockbroking setting.
- Understanding of risk management frameworks, control effectiveness and the respective responsibilities of business management and independent compliance oversight.
- Ability to research and interpret laws and regulations and translate their application into clear, practical advice.
- Sound judgement, analytical thinking and business acumen, with the confidence to provide constructive challenge and recognise when escalation is required.
- Ability to work independently within agreed responsibilities and delegations, manage competing priorities and deliver work to agreed standards and deadlines.
- Clear written and verbal communication and effective stakeholder engagement, with a collaborative approach and commitment to ongoing learning.
- For appointment at Senior Compliance Manager level, demonstrated experience independently leading complex compliance matters, influencing senior stakeholders and providing technical leadership or coaching is expected. This should include experience managing regulatory engagement and remediation and overseeing trading-related compliance risks.
- A relevant tertiary qualification in business, finance, law or risk management, or equivalent industry certification.

Risk Mindset - All AUSIEX employees are expected to proactively identify and understand, openly discuss and act on current and future risks. 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 [email protected].

Visit us on www.ausiex.com.au or on LinkedIn

📌 Senior Compliance Manager - Sydney
🏢 AUSIEX
📍 Sydney