Operational Risk Manager

2 weeks ago

Melbourne, Victoria, Australia Anton Murray Consulting Full time

Melbourne- Wealth Management- Contract or TemporaryOur client is a global financial services firm with an extensive presence in the Australian market.


Sitting within the Wealth Management business on an initial contract, this role's primary function is to implement and monitor the business' branch supervisory manual and support the business in operating within specific risk appetite levels.


Key Responsibilities:

  • Develop strong working relationships with staff to facilitate a strong risk culture within the branch.
  • Responsible for identifying and providing guidance/solutions to the relevant State Manager and Head of Branch Supervision on risk issues.
  • Responsible for providing guidance to advisers relating to their regulatory and risk obligations as well as proactively managing the firm's advice/suitability framework to ensure compliance at all times.
  • Responsible for preparing Key Risk Indicator reporting for the State Manager and investigating any material risks identified through reporting.
  • Undertake detailed, documented account reviews including preparing reports for advisers and the State Manager on the outcomes of these reviews.
  • Work with the Legal & Compliance team in respect of complaint resolution.
  • Work closely with other risk functions within the business to enhance the supervisory framework and contribute to projects as needed.
  • In conjunction with the State Manager, ensure the Branch maintains the ethical standards contained in the Company Code of Conduct; firm policies and procedures, regulatory and legislative requirements.

Key Skills:

  • Ideally 3 to 4 years complaicne or risk experience within a financial services setting, ideally with an equities focus
  • First line of Defence risk
  • University Degree qualified in Finance, Business or Economics preferable but not essential.
  • Recognised industry qualifications preferred but not essential.
  • ASIC RG 146 and ASX Accredited Derivatives Adviser (ADA Level 1) accreditations are desirable.

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