Job Title: Risk & Compliance Manager
Sydney or Melbourne (Preferably Sydney)
About the Role:
This is a key position within our business, responsible for delivering a contemporary risk management framework with extensive exposure to senior leaders and Executive stakeholders. You will have the opportunity to contribute to the development of our organisation's framework whilst partnering with leaders to influence risk activities across the organisation.
Key Responsibilities:
* Develop and Maintain Relationships: Develop outstanding relationships with all stakeholders to collaboratively drive change and deliver value and be an advocate for a positive risk culture.
* Risk and Compliance Education: Educate and advise stakeholders regarding the development of strong risk and compliance capabilities within the business.
* Mentorship and Guidance: Mentor, guide and support the development of strong risk and compliance capabilities within the team and across the business.
* Industry Representation: Represent the group as relevant at industry events and with regulators.
* Governance and Compliance Frameworks: Build, maintain and provide oversight and advice on governance, risk and compliance frameworks which facilitate timely identification of issues and escalation to the Head of and the Board.
* Compliance Framework: Ensure the Compliance Framework adequately addresses:
o Identification and recording of compliance obligations across the business unit
o Monitoring Compliance with obligations
o Identification, assessment and resolution of Incidents
o Compliance Training
* Risk and Compliance Implementation: Ensure the risk and compliance frameworks and related policies are maintained and implemented across the business
* Audit Liaison: Liaise with auditors and external consultants as necessary to improve the effectiveness of operational risk and compliance implementation
* Information Provision: Responsible for providing information to external Auditors for AFSL, Financial Statements and ASIC Deed Poll Audits. Educate staff and management across the business in relation to sound risk management practices, processes and systems
* Assurance Reviews: Undertake targeted assurance reviews to ensure risks are appropriately and effectively managed
Requirements:
* Legal Background: Legal background / LLB Degree ( Highly desirable)
* Risk and Compliance Experience: Over 5 years' experience in financial services risk and compliance roles.
* Custody and Asset Management Experience: Experience within Custody, Managed Investments and/or Asset Management or corporate trustee businesses (preferred)
* Regulatory Understanding: Good understanding of Trustee ACL and AFSL regulatory obligations
* Interpersonal Skills: Excellent interpersonal and communication skills
* Business Process Knowledge: Understanding of business process, controls and assurance.
Salary: $120,000 - $150,000 per annum