Risk & Compliance Manager

The Company

Our client is a high profile, International Financial Services firm with a focus on quality and ethical financial investment.

Role purpose

To drive and embed the Risk & Compliance Management Framework and create a strong risk and compliance culture.

Key responsibilities

Risk Management

  • Maintain and oversee compliance with the Risk Management Framework.
  • Lead risk initiatives and develop risk related policies and frameworks as required.
  • Provide practical risk advisory services to stakeholders, including risk profiling, control assurance, oversight, compliance, incident management and knowledge governance.
  • Conduct Risk in Change assessments on new and existing products, key projects and initiatives and identify and/or recommend appropriate risk countermeasures and best practices.
  • Prepare risk management reporting and insights to senior management and Board.
  • Respond to, manage and mitigate the impact of risk events, breaches and incidents.
  • Lead and implement risk culture programs including training and awareness.
  • Drive continuous improvement of the business control environment through risk improvements, thought leadership, insights and reporting.
  • Promote and create a strong risk and compliance culture

Compliance

  • Achieve best practice compliance management solutions to meet business needs.
  • Contribute to the development and implementation of an effective compliance and regulatory framework.
  • Lead ongoing compliance risk management maturity assessment and action plan implementation to support the Compliance Management Framework.
  • Coordinate and follow up on policy reviews

Essential knowledge, skills and experience

  • Strong knowledge of Operational and Compliance Risk frameworks.
  • 4+ years’ experience in a business facing role of audit, compliance or risk management.
  • Tertiary qualifications in either a business, commerce or risk discipline.
  • Excellent problem solving, productivity, planning and co-ordination skills.
  • Strong organizational skills and influencing and consulting skills, including the ability to build relationships with stakeholders at all levels and remotely. Ability to analyse risk trends and provide thought leadership.
  • Good written and verbal communication skills, especially in report writing.

Benefits

  • Flexible working environment
  • Exposure to C-Suite and board level stakeholders
  • Advance your career within risk and compliance

If you have the relevant skills and are interested please click apply or contact Liam Sweeney via [email protected]

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Senior Risk Analyst

An exciting opportunity has become available for an experienced Risk Analyst to join an Enterprise Risk Management team. This role will sit within Line 2 supporting Line 1 within the Technology and operations functions in their implementation of Risk Management frameworks. The role will be involved in: risk and control identification and assessment, incident, issue and breach management, controls assurance and risk in change.

Key Responsibilities:

  • Challenge and review of the 1st line’s Risk Control Assessments
  • Incident Management and breach assessment
  • Review and sample testing of control effectiveness
  • Identification, mapping and management of compliance obligations and associated controls
  • Oversight and advice on the management of conflicts of interest
  • Risk governance and independent 2nd line reporting
  • Ad hoc Regulatory engagement

Key Requirements:

  • 2 years of relevant financial services experience in Risk management.
  • Understanding of Technology Risk
  • Exposure to regulators
  • Experience in providing strategic risk advice and guidance
  • Experience with operational risk controls
  • Knowledge and experience with superannuation and or general financial services compliance
  • Relevant degree

If you have the required skills and experience please click apply or contact Liam Sweeney at [email protected].

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Risk & Compliance Manager

We are currently working with an Australian provider of exchange-traded funds and other ASX-traded funds and have an exciting opportunity for an experienced Risk & Compliance Manager.

We are seeking an energetic, self-motivated risk and compliance professional to join our client’s Legal & Compliance team. This role would be ideal for someone looking to apply and broaden their skills within a growing and dynamic company.

What They Offer

  • Attractive permanent salary + bonus program
  • Career development and training allowance for employees
  • Volunteering days off
  • Flexible workplace
  • Career development for staff

Responsibilities

  • Identifying risk & compliance improvement opportunities
  • Complaints management
  • Conducting risk and compliance reviews
  • Developing, implementing, and maintaining risk and compliance frameworks
  • Maintaining risk & compliance policies and registers

Requirements

  • Seven to ten years experience in risk or compliance-related role within the financial services industry, preferably in funds/wealth management/platforms
  • Strong analytical skills
  • Tertiary qualification in a relevant discipline, such as law, commerce, or accounting
  • Highly Organized and strong communication skills

If you are interested in learning more, click Apply or please contact Andrew Whitelaw at [email protected]

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Senior Risk & Compliance Manager- Retail Banking

We are currently working with an ASX-listed investment management firm that is currently looking for a Senior Risk & Compliance Manager across their Lending & Investments team. Given how niche this role is this would be perfect for someone in a current Risk and Compliance Manager role across Lending looking for the next step into more of a leadership role.

Key Responsibilities:

  • Providing licensing, regulatory, operational risk, and compliance support on the take on of additional mortgage portfolios.
  • Advising and assisting with the regulatory interactions such as ASIC and APRA reviews
  • Completing the fit & proper assessments
  • Reviewing and assessing the credit license authorizations
  • Maintain the compliance plans for the mortgage entities
  • Dealing with key internal & external stakeholders
  • Rolling out initial frameworks / maintaining ones already in place

Requirements:

  • Understanding of mortgage lending businesses
  • Knowledge of the key compliance requirements of an ASIC regulated business
  • Understanding of the NCCP Act 2009, RG209 and RG96
  • 5+ years of risk and compliance experience with a minimum of 2+ years in a manager role.

f you want to know more or wish to apply, please email Andrew Whitelaw at [email protected]

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Senior Risk Analyst

An exciting opportunity has become available for an experienced Risk Analyst to join an Enterprise Risk Management team. This role will sit within Line 2 supporting Line 1 within the Technology and operations functions in their implementation of Risk Management frameworks. The role will be involved in: risk and control identification and assessment, incident, issue and breach management, controls assurance and risk in change.

Key Responsibilities:

  • Challenge and review of the 1st line’s Risk Control Assessments
  • Incident Management and breach assessment
  • Review and sample testing of control effectiveness
  • Identification, mapping and management of compliance obligations and associated controls
  • Oversight and advice on the management of conflicts of interest
  • Risk governance and independent 2nd line reporting
  • Ad hoc Regulatory engagement

Key Requirements:

  • 2 years of relevant financial services experience in Risk management.
  • Understanding of Technology Risk
  • Exposure to regulators
  • Experience in providing strategic risk advice and guidance
  • Experience with operational risk controls
  • Knowledge and experience with superannuation and or general financial services compliance
  • Relevant degree

If you have the required skills and experience please click apply or contact Liam Sweeney at [email protected].

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Risk & Compliance Manager

The Company

Our client is a high profile, International Financial Services firm with a focus on quality and ethical financial investment.

Role purpose

To drive and embed the Risk & Compliance Management Framework and create a strong risk and compliance culture.

Key responsibilities

Risk Management

  • Maintain and oversee compliance with the Risk Management Framework.
  • Lead risk initiatives and develop risk related policies and frameworks as required.
  • Provide practical risk advisory services to stakeholders, including risk profiling, control assurance, oversight, compliance, incident management and knowledge governance.
  • Conduct Risk in Change assessments on new and existing products, key projects and initiatives and identify and/or recommend appropriate risk countermeasures and best practices.
  • Prepare risk management reporting and insights to senior management and Board.
  • Respond to, manage and mitigate the impact of risk events, breaches and incidents.
  • Lead and implement risk culture programs including training and awareness.
  • Drive continuous improvement of the business control environment through risk improvements, thought leadership, insights and reporting.
  • Promote and create a strong risk and compliance culture

Compliance

  • Achieve best practice compliance management solutions to meet business needs.
  • Contribute to the development and implementation of an effective compliance and regulatory framework.
  • Lead ongoing compliance risk management maturity assessment and action plan implementation to support the Compliance Management Framework.
  • Coordinate and follow up on policy reviews

Essential knowledge, skills and experience

  • Strong knowledge of Operational and Compliance Risk frameworks.
  • 4+ years’ experience in a business facing role of audit, compliance or risk management.
  • Tertiary qualifications in either a business, commerce or risk discipline.
  • Excellent problem solving, productivity, planning and co-ordination skills.
  • Strong organizational skills and influencing and consulting skills, including the ability to build relationships with stakeholders at all levels and remotely. Ability to analyse risk trends and provide thought leadership.
  • Good written and verbal communication skills, especially in report writing.

Benefits

  • Flexible working environment
  • Exposure to C-Suite and board level stakeholders
  • Advance your career within risk and compliance

If you have the relevant skills and are interested please click apply or contact Liam Sweeney via [email protected]

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Compliance Analyst (Compliance Officer)

We have been engaged to work with a leading financial services firm that is seeking to hire a Compliance Officer (Compliance Analyst).

Our client is searching for a candidate to fill a vacancy in its Enterprise compliance team covering Financial & Capital Markets. This role is ideally suited to candidates in the early stage of their career with a Legal or compliance background just out of university and looking to kick start their career.

Working as part of the Enterprise compliance team, the compliance analyst is responsible for attending regulatory meetings, implementing the enterprise compliance framework, tracking the completion of training courses, and collating/ tracking regulatory reporting.

Responsibilities:

  • Support the implementation and execution of the enterprise framework
  • Review regulatory changes
  • Draft management reports
  • Assist in the review of training materials, policies, and procedures
  • Shadow senior Compliance staff

 

Experience/ what we need from you:

  • Recently completed tertiary qualification in Legal, business, commerce, or related
  • Experience with Excel and PowerPoint
  • Be enthusiast, positive, and able to build relationships
  • Excellent time management skills
  • 6-12 months of experience in a banking role (preferable)

 

If you have any questions or wish to apply please contact Andrew Whitelaw at: [email protected]

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Internal Audit Manager

I am currently working with a well-known Australian insurance conglomerate looking for an experienced Internal Audit Manager or an aspiring Senior Auditor looking to take on more responsibility.

Our client is currently looking to hire 2 Audit managers to join their Audit function being responsible for the delivery of end-to-end Audits across the wider Insurance portfolio.

As a successful Internal Audit Manager, your objective is to deliver high-quality audits which assist the organization to achieve its objectives through the promotion of effective internal controls. This position will ideally suit someone with relevant Internal Audit experience across Insurance or Banking, looking to join a company that offers extensive perks with a great culture and solid work-life balance, while at the same time offering strong career progression and growth.

 

Responsibilities:

– Perform end-to-end internal audits, project reviews, and ad-hoc reviews.

– Work with timeframes and budgets.

– Analyse observations and test results

– Mentor junior staff

– Influence stakeholders

– Monitor status of audit issues and progress of agreed management action plans

 

Experience/ what we need from you:

– 3+ years in a Senior Internal Auditor Senior Analyst role within financial services or insurance.

– Experience in data analytics, audit techniques, and IT control testing

– Clear, concise verbal and written key audit observations.

– Qualifications from IIA, ICAA, or CPA (desirable)

 

If you have the relevant experience and are keen to explore new opportunities please click apply or contact Andrew Whitelaw via [email protected]

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