Analyst Risk and Control Advisory- Commsec Cco

2 weeks ago

Sydney, New South Wales, Australia Commonwealth Bank Full time

About the business & your team
CommSec is Australia's leading online retail stockbroker providing customers with online and mobile trading solutions.

The CommSec Controls Office comprises of the Business Profile Management, Governance, Technology Risk and Supplier Governance teams.

Our purpose is to enable CommSec in achieving its strategic priorities through effective management and governance of risk and compliance obligations.


We do so through accurate assessment and timely reporting of CommSec's risk and compliance environment, adequate maintenance of CommSec's AFSL, as well as effective management of our Technology, Cybersecurity and Supplier risks.

You will join the CommSec Governance team made up of five high performing managers and analysts.

The purpose of the Governance team is to support the CommSec leadership team in making informed decisions through the management of, and reporting to, key governance committees; maintaining the compliance arrangements around our Australian Financial Serivces License, and coordinating the assessment and implementation of Group Policy and Regulatory changes.

You will be empowered to make a difference at all levels of the CommSec business.

You will be challenged in a role that allows access to all aspects of our business and a variety of project types.


You will have the opportunity to come up with innovative ideas to enhance the oversight and governance of non-financial risk across the CommSec business.

You will also have opportunities to learn and develop in the role across all of the areas of responsibility of the CCO team.


Key responsibilities for this role includes:

  • Performance of secretariat duties for CommSec Risk Committee, Non-Financial Risk Committee (NFRC), Financial Risk Committee, Product Governance Forum and Conduct Panel.
  • Reporting of Non-Financial risks, including KRIs, deepdives, incidents, NFRC reporting and CommSec Board reporting.
  • Input to and writing of papers for key governance committees
  • Administration of CommSec Licences; Coordination of licenserelated attestation (CBA AFSL, CBA ACL and APRA attestations).
  • Coordination of the assessment and implementation of Group Policy and Regulatory changes through liaising with Business Banking.
  • Controls performance and testing;
  • Issue and incident management triage; root cause analysis to ensure prevention of key risk themes;
  • Liaising regularly with key stakeholders across CommSec, across Business Unit risk colleagues in the broader Line 1 Risk community, and Line 2 & 3 Risk and compliance.

We're interested in hearing from people who have:

  • A finance / commerce qualification
  • Ability to think critically and analytically and use data driven insights to solve problems
  • A risk mindset
  • Stakeholder management experience
  • Facilitation and presentation skills
  • Experience in Operational or Compliance Risk is advantageous
  • Understanding of equities, stockbroking and/or margin lending businesses and associated regulatory environments (ASX/ASIC) is advantageous.
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Advertising End Date: 27/04/2023

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