Senior Manager Compliance Operations
2 weeks ago
Senior Manager Compliance Operations - Private Wealth (12-Month Secondment/Fixed Term Opportunity) Senior Manager Compliance Operations - Private Wealth (12-Month Secondment/Fixed Term Opportunity) Commonwealth Bank of Australia Sydney, Australia Senior Manager Compliance Operations - Private Wealth (12-Month Secondment/Fixed Term Opportunity) Commonwealth Bank of Australia Sydney, Australia Posted 1 day ago Permanent Competitive Senior Manager Compliance Operations - Private Wealth (12-Month Secondment/Fixed Term Opportunity) Senior Manager Compliance Operations - Private Wealth (12-Month Secondment/Fixed Term Contract Opportunity)About us Commonwealth Private strives to provide outstanding personal service and trusted advice to high net worth individuals who have the intention to invest or borrow at least AU$2.5million.
Quite simply, our breadth of experience means that we can offer clients a comprehensive range of solutions as well as market leading products and innovative investment opportunities.
We are backed by superior research capabilities and the extensive resources of the Commonwealth Bank Group, so we can help our clients achieve the best possible outcome.
We have Private Bankers and Private Wealth Managers specialising in banking, lending, strategic advice, investments and insurance located right across Australia.
Our vision is to be the private bank successful Australians recommend.The Commonwealth Private Wealth team is responsible for the provision of wholesale investment services to the Bank's ultra-high and high net worth clients.
About the opportunity Reporting to the Executive Manager Private Wealth Operations within the Private Bank and Advice Experiences Crew, the Senior Manager Compliance Operations is responsible for oversight and execution support for the frameworks and processes which support the safe and efficient delivery of Commonwealth Private's investment and advisory offering to its clients.
In this role you will work closely with the Commonwealth Private Investments and Research team, Line 1 Risk, Line 2 Compliance and Legal, as well as our Private Wealth Managers and Directors to help define and deliver operational frameworks, policies and processes across the end-to-end advice delivery chain.
This role supports the personal advice and self-directed/general advice offering, and will have a critical role to play in helping establish strong foundations for Commonwealth Private to deliver upon its strategic objectives, and ultimately its ambition to be #1 for High Net Worth customers in Australia.
Additionally, you will:
Develop, execute and oversee Frameworks and supporting processes for the delivery of Commonwealth Private's investment offering, for both advised and self-directed clients.
Continually evaluate the control environment, ensuring it is effective in mitigating risks and ensuring Commonwealth Private is complying with its obligations.
Work with your peers in the Private Wealth Operations LT to efficiently oversee and execute our governance frameworks across investment delivery, licensing and supervision and monitoring, in conjunction with your peers in the Private Wealth Operations leadership team.
Assist with AFSL management and monitoring - complying with the legal and regulatory obligations, as well as the Group policies and procedures that impact licensing (e.g.ASIC Licence Management Policy and Procedure, Group Competency and Training Standard, etc.).
About you To be successful in this role, you will have:5+ years' experience in a risk or operational/support role within an AFSL.
Excellent technical knowledge and a strong understanding of all aspects of financial advice, including investment products and platforms.A strong risk mindset - proactively identify and understand, openly discuss and act on current and future risks.
A strong understanding of the regulatory environment, including AFSL obligations.
An ability to analyse/identify risks and opportunities and recommend appropriate actions.
Tertiary qualifications in finance, accounting, law, financial planning, or related subjects.
Financial planning qualifications - RG146/Education Standards (or equivalent).
If you're already part of the Commonwealth Bank Group (including Bankwest, x15ventures), you'll need to apply through Sidekick to submit a valid application.
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Advertising End Date: 26/06/2024 Job ID REQ212708 More Jobs From Commonwealth Bank of Australia Boost your career Find thousands of job opportunities by signing up to e Financial Careers today.
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