risk and comnpliance manager in Wollongong

Wollongong, New South Wales
job type
reference number
apply now

job description

Our client is seeking an experienced Risk & Compliance professional to join their team in a senior leadership role with a focus on Wealth Management across the entire Financial Advice portfolio.

Duties & responsibilities include;

  • Assess current strategic approach towards how risk and compliance is being managed across the advice licensees
  • Breach reporting and incident management
  • Act as the key point of contact between various Risk & Compliance teams
  • Identify and use various data sources to drive insights into risk management
  • Focus on continuous improvement across the group
  • Provide high level strategic advice around current and upcoming financial planning legislation
  • Maintain key regulatory processes and perform regular assessments
  • Attend regulator client meetings as required
  • Foster strong and collaborative relationships with key stakeholder groups

Essential Requirements:

  • Strong knowledge of Financial Planning, wealth management and the risks surrounding the industry
  • Sound understanding and management of a Risk and Compliance framework including the ability to assess strategic and operational risk
  • Ability to provide value add advice in relation to process, controls and superannuation administration matters
  • Ability to analyse data and collate and prepare reports in relation to incidents, audit and risk data
  • Strong technical knowledge in any/or the following industries investments, talent or retirement.
  • Foundation capability of operating with Boards and in the provision of Director level information
  • Excellent stakeholder engagement skills including ability to manage internal relationships
  • Understanding of corporate requirements and principles of risk management and compliance principles
  • Ability to prioritise and manage your own timeframes

If you have the qualities listed above please please send through your CV by applying now via the below link.

Closing date 2nd June 2017


Financial Planning, Understanding of Risk and Compliance Framework,Strategic Advice, Analytical and Technical experience
apply now