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.

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 escalation 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 explicit, 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 q

📌 Senior Compliance Manager (Sydney)
🏢 Australian Investment Exchange
📍 Sydney