2 roles: Senior Manager Compliance (Trading/Super)

About SuperheroSuperhero is an award-winning Australian investment and superannuation platform built for the new generation of self-directed investors. Today, we’re proudly helping over 470,000 Australians reimagine their financial future and build real wealth on Superhero. We’re looking for sharp, collaborative minds to support our mission of democratising investing.About the rolesWe're hiring two compliance-oriented Superheroes: a Senior Manager Compliance (Super) with experience in compliance within the superannuation industry, and a Senior Manager Compliance (Trading) with experience in compliance within the securities trading industry.Both roles report directly to the Head of Risk & Compliance. The right people will be passionate about providing compliance advisory, monitoring and reporting services to the business, as well as investigating and reporting on incidents in line with regulatory requirements:Super: superannuation incidents, in accordance with the regulatory requirements of ASIC and APRATrading: trading incidents, in accordance with the regulatory requirements of ASIC and our Market ParticipantsThese are hands-on roles for people who thrive in a fast-paced environment and want to see their work directly contribute to protecting customers and strengthening trust in Superhero.RequirementsFor both roles, you will need:A deep understanding of the relevant ASIC Regulatory Guides and publications, plus for the Super role, the SIS Act and SIS Regulations, and for the Trading role, Market Participant rulesA minimum of five years' experience in a similar roleExperience leading peopleThe ability to interpret and apply Superhero's policies and procedures across our superannuation or trading product offerings, depending on the roleStrong data analysis skillsHighly developed verbal and written communication skillsThe ability to work both independently and as part of a team, escalating challenges or concerns promptly and appropriatelyThe capability to develop and write analytical reportsStrong critical thinking and problem-solving skillsA high-energy approach to performing in a fast-paced environment with tight deadlinesResponsibilities for both rolesAssisting the Head of Risk & Compliance in providing risk and compliance advisory, monitoring and training services (design and facilitation) to the Line 1 business across Superhero's superannuation or trading business, in accordance with regulatory requirementsRisk Culture & Line 1 Coaching: Partnering with Line 1 operational teams to build a strong risk culture, providing hands-on risk advisory and training on risk assessment methodologies and control designWorking with our key third parties to ensure compliance obligations (commercial and regulatory), responding to periodic questionnaires and attestations, and managing Superhero's operational resilience and business continuity planning (BCP)Third-Party & Vendor Risk Management: Conducting ongoing risk assessments and due diligence on key third-party service providers, market participants and execution/clearing partners to ensure alignment with operational resilience standardsTaking key responsibility for managing compliance engagements in the regulated disclosure regime across Superhero's disclosure framework, including disclosure documents, marketing and websiteAssisting with the ongoing design, implementation and maintenance of Superhero's Risk Management Framework (RMF), including Risk Appetite Statements (RAS), Risk & Control Self-Assessments (RCSAs) and Key Risk Indicators (KRIs)Assisting with internal and external audit coordination and driving the remediation and closure of audit findingsInvestigating and assessing incidents and breaches, and ensuring Reportable Situations are reported to ASIC in a timely mannerLiaising with internal teams to ensure complaints are appropriately investigated and responded to in compliance with ASIC RG 271, including complaints monitoring and oversight of complaints reporting and Internal Dispute Resolution letters to customersUpdating Superhero's compliance frameworks, policies and procedures as required, and at least annually in accordance with the Compliance CalendarResponding to regulatory queries, surveys, due diligence requests and notices from ASIC and third-party service providers as requiredMonitoring for and leading regulatory change management initiatives from the Risk & Compliance perspective, ensuring internal teams are properly informed and engaged as requiredDesigning and implementing appropriate risks and controls to ensure the efficient implementation of Superhero's Compliance and Risk Management FrameworksCreating and drafting periodic compliance reporting for Senior Management, the Risk & Compliance Committee and the Board as requiredWorking with the Financial Crime Compliance Manager to assist with anti-money laundering (AML) and counter-terrorism financing (CTF) matters as required (a base knowledge of AML/CTF compliance will be favourably considered)Additional responsibilities: Senior Manager Compliance (Super)Assisting with the development of Superhero's risk management framework, including documentation, risk identification, control design and effectiveness, monitoring and reportingMonitoring financial advisers permitted to access the Superhero Platform, at onboarding and on an ongoing basisResponding to regulatory queries, surveys, due diligence requests and notices from APRA as requiredAssisting the engagement with the fund’s Trustee, including development of systems, processes, monitoring and reporting.Additional responsibilities: Senior Manager Compliance (Trading)Information Security & Tech Risk: Leading Risk & Compliance oversight of Superhero's Information Security Management System (ISMS) and ISO 27001 certification, ensuring technology and cyber risks are systematically identified and mitigatedResponding to regulatory queries, surveys, due diligence requests and notices from Superhero's Market Participant/s and Execution & Clearing Provider/s as requiredWhat we offer youHere’s what you can expect:A culture and team our people rate highly, with interesting and challenging work;Competitive salary package;A fun and social CBD office atmosphere with snacks, events and activities;Mental wellbeing support and therapy;Gender-neutral parental leave entitlements; andAccess to novated leasingOur ValuesWe do the right things, always: We lead with transparency and accountability and always do what’s right for our customers.We’re never done: We have a bias for action and a hunger for growth.There’s no ‘i’ hero: We’re team-first and believe in owning the problem and sharing our success together.We innovate courageously: We start with “how” and “why not” and we don’t settle for the status quo.We are committed to fostering a diverse and inclusive workplace and believe that different perspectives lead to better outcomes. If you're passionate, innovative, and aligned with our values, we're excited to have you on board. Help us shape the future of fintech investment and empower our clients to achieve their financial goals.Interested? Please hit the 'Apply Now' button and we look forward to hearing from you.You will need to have the rights to legally work in Australia, sponsorship options are not available for this role.