Executive Manager Compliance, CommSec
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What you'll do
- Leading the Compliance team supporting CommSec’s distribution businesses.
- Interpreting and advising on technical obligations, including: ASIC Market Integrity Rules; ASX Operating, Settlement, Clear Rules; TMX Operating Rules; and, Licensing.
- Compliance framework responsibilities, including: compliance incident assessments, Compliance Self-Assessments, regulatory change, and overseeing the management of compliance issues and incidents.
- Leading and coordinating complex regulatory submissions including breach reports, responses to regulatory requests / notices.
- Leading delivery of regulatory change initiatives.
- Planning, scoping and executing Line 2 Assurance reviews and monitoring.
- Providing strategic compliance advice, ensuring regulatory obligations, licensing requirements and customer expectations are appropriately considered.
- Partnering with the business to develop compliant-by-design solutions that address regulatory obligations, licensing requirements, Group compliance policies and customer and community expectations.
What they're looking for
- Extensive Line 2 Compliance experience within financial services, exchanges, or a legal or regulatory environment.
- Experience leading and developing teams within financial services, compliance, risk, regulatory or legal functions.
- Strong knowledge of compliance frameworks, regulatory change, policy development, licensing obligations and governance reporting.
- Strong understanding of Australian retail stockbroking and capital markets, including equities, derivatives, margin lending, and retail and wholesale customer segments, or the ability to quickly build expertise in these areas.
- Demonstrated ability to translate complex regulatory requirements into clear, practical and commercially appropriate advice.
- Experience engaging with regulators, exchanges and external stakeholders.
- A curious and data-informed approach, with the ability to identify emerging compliance risks, themes and opportunities for continuous improvement.
- Strong written and verbal communication skills, including the ability to communicate effectively with executive and board-level stakeholders.
- A tertiary qualification in law, finance, business or a related discipline.
Nice to have
- Experience in stockbroking or capital markets will be highly regarded.
- Familiarity with and knowledge of ASIC Market Integrity Rules, ASX Operating, Settlement, Clear Rules and TMX Operating Rules will be highly regarded.
Summarised by NextRaise from the employer’s description, which follows in full below.
Full description from employer
Executive Manager Compliance, CommSec
Do work that matters
As Executive Manager Compliance, you will lead the oversight and continuous improvement of CommSec's compliance framework across its distribution businesses.
You'll provide strategic compliance advice, oversee the compliance profile, deliver regulatory change and assurance activities, and support the business in meeting its obligations. Through your leadership of the team, you'll help strengthen compliance capability and support informed decision-making across CommSec.
See yourself in our team
CommSec Risk Management is part of Business Banking Risk Management within CBA Risk Management and provides independent oversight across Compliance, Operational Risk and Market & Liquidity Risk.
As a senior leader within the CommSec Compliance team, you'll partner with stakeholders across CommSec and Group Compliance to deliver effective governance, oversight and compliance risk management across the business.
Your day could look like (but not limited to):
- Leading the Compliance team supporting CommSec’s distribution businesses.
- Interpreting and advising on technical obligations, including: ASIC Market Integrity Rules; ASX Operating, Settlement, Clear Rules; TMX Operating Rules; and, Licensing.
- Compliance framework responsibilities, including: compliance incident assessments, Compliance Self-Assessments, regulatory change, and overseeing the management of compliance issues and incidents.
- Leading and coordinating complex regulatory submissions including breach reports, responses to regulatory requests / notices.
- Leading delivery of regulatory change initiatives.
- Planning, scoping and executing Line 2 Assurance reviews and monitoring.
- Providing strategic compliance advice, ensuring regulatory obligations, licensing requirements and customer expectations are appropriately considered.
- Partnering with the business to develop compliant-by-design solutions that address regulatory obligations, licensing requirements, Group compliance policies and customer and community expectations.
What we're looking for
We're looking for an experienced compliance leader who brings sound judgement, an inclusive leadership approach, and the ability to build trusted relationships across a complex stakeholder environment.
You will bring:
- Extensive Line 2 Compliance experience within financial services, exchanges, or a legal or regulatory environment. Experience in stockbroking or capital markets will be highly regarded.
- Experience leading and developing teams within financial services, compliance, risk, regulatory or legal functions.
- Strong knowledge of compliance frameworks, regulatory change, policy development, licensing obligations and governance reporting.
- Strong understanding of Australian retail stockbroking and capital markets, including equities, derivatives, margin lending, and retail and wholesale customer segments, or the ability to quickly build expertise in these areas.
- Familiarity with and knowledge of ASIC Market Integrity Rules, ASX Operating, Settlement, Clear Rules and TMX Operating Rules will be highly regarded.
- Demonstrated ability to translate complex regulatory requirements into clear, practical and commercially appropriate advice.
- Experience engaging with regulators, exchanges and external stakeholders.
- A curious and data-informed approach, with the ability to identify emerging compliance risks, themes and opportunities for continuous improvement.
- Strong written and verbal communication skills, including the ability to communicate effectively with executive and board-level stakeholders.
- A tertiary qualification in law, finance, business or a related discipline.
At CommBank, we're committed to creating an accessible, inclusive and respectful workplace. If you require support or adjustments, please let us know. We welcome applications from people of all backgrounds and we're particularly committed to making a positive difference for Aboriginal and/or Torres Strait Islander Peoples. For support please contact 1800 989 696.
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