Job Details

New South Wales
$100000 - $150000 per annum
Job Type
Eugena Gong
4 months ago
The Role:

A newly created Line 2 function in one of Australia's leading Financial Services Group, in their Wealth Management arm (focusing on Superannuation, Platforms, Investments and Operations).

Major Accountabilities:

  • Focus on the strategy for the Superannuation, Platforms & Operations, and Investments businesses and ensure a clear understanding of the value contribution to the strategy and is effective in driving risk thought leadership in successfully achieving strategic objectives.
  • Support, guide and advise on the execution of the risk and compliance framework components in a consistent manner.
  • Assist in developing and continually refining internal policies, procedures, guidelines and plans to ensure compliance with legal requirements.
  • Promote a “top-down” integration of business and risk management cascading from strategy through business plans, priorities down to activities, processes and controls.
  • Address issues emerging from reviews or other learnings deriving from experience in the current and emerging regulatory and market environment.
  • Escalate risks, control weaknesses or compliance breaches that remain unmitigated and outside reasonable tolerances.
  • Assist with the reporting to management and the relevant Board Committees on the risk profiles, providing guidance on risk & compliance management. 
  • Understand and interpret implications of regulatory changes, ensure accuracy and compliance with legal and regulatory requirements.

Skills & Requirements:

  • 3-5 years of experience within a wealth management risk and compliance environment.
  • Understanding of both business and risk strategy development.
  • Understanding of wealth product development, marketing and distribution operations, and the nature of their specific risks and compliance obligations
  • Professional qualifications, for example Chartered Accountancy, Project Management, Internal Audit (desirable)
  • Understanding of relevant laws and regulations underpinning the wealth business, including RG146, RG104, RG105, RG165, Privacy laws and Conflicts of Interest.

For further information on this role or to confidentially apply, please contact Eugena Gong on 02 8227 9200 or apply directly via the Apply for this job button. Only WORD FORMAT CVs will be accepted.