Senior Manager, Line 1 Risk and Compliance SME – Investment Services

Company:Mercer

Description:

We are seeking a talented individual to join our Investment and Fund Services team at Mercer. This role can be based in Sydney or Melbourne. This is a hybrid role that has a requirement of working at least three days a week in the office.

Senior Manager, Line 1 Risk and Compliance SME – Investment Services & Fund Services

We are seeking a SME (Senior Manager) to assist with various aspects of risk management, with a particular emphasis on process, controls and adherence to risk frameworks across the Investment Services and Fund Services domains. The Senior Manager will be required to work autonomously but be able to proactively and productively engage with stakeholders as required.

They should have first class written communication skills and have had experience in drafting policies and documenting processes/controls in previous roles.

Generally, 5-10 years' experience in the Superannuation/Investment industry with domain knowledge in the areas of Fund Accounting, Tax, Unit Pricing, Reconciliations and Investment Operations.

12-month contract initially

We will count on you to:

• Actively identify potential risks across Mercer's business operations, including financial, operational, compliance, and strategic risks.
• Implement and uplift risk management practices and controls within Mercer. This includes adhering to established policies and procedures to mitigate identified risks.
• Continuously monitor the effectiveness of risk controls and regularly report on risk exposure to senior management and risk committees.
• Ensure that Mercer complies with regulatory requirements and internal policies related to risk management.
• Work closely with Line 2 and Line 3 teams to ensure an integrated approach to risk management.
• Support the Investment and Fund Services team with R&C BAU activities
• Stakeholder engagement with MSAL business and risk teams, Program Elevate colleagues and management of stakeholder feedback on the Stream deliverables.
• Creation of evidence and deliverable packages to support meeting the approval criteria in the remediation plan.

What you need to have:

• At least 5-10 year's working in a governance, regulatory compliance or legal role with experience related to financial services regulation relating to conduct and culture.
• Experience working in or providing services to a regulated Superannuation/Investment financial services business, with an ability to interpret and apply associated legislative requirements.
• To be able to demonstrate clearly an ability to undertake the role accountabilities described above, experience in the following needs to be demonstrated:
• Sound understanding and ability to operate within Legal, Risk and Compliance frameworks, including the ability to consider compliance strategically and take a commercial approach to compliance when required.
• Ability to provide value add advice to the Business in respect of risk culture behaviours and consequence, controls, process and administrative matters.
• Ability to analyse data, undertake root cause analysis on risk behaviour indicators, collate and prepare reports in relation to risk culture profiles, compliance plans, statutory requirements, regulatory fund lodgements, incidents, audit risk culture data.
• Strong written and verbal communication

Why join our team:

• We help you be your best through professional development opportunities, interesting work and supportive leaders
• We foster a vibrant and inclusive culture where you can work with talented colleagues to create new solutions and have impact for colleagues, clients and communities
• Our scale enables us to provide a range of career opportunities, as well as benefits and rewards to enhance your well-being

Mercer, a business of Marsh McLennan (NYSE: MMC), is a global leader in helping clients realize their investment objectives, shape the future of work and enhance health and retirement outcomes for their people. Marsh McLennan is a global leader in risk, strategy and people, advising clients in 130 countries across four businesses: Marsh, Guy Carpenter, Mercer and Oliver Wyman. With annual revenue of $24 billion and more than 90,000 colleagues, Marsh McLennan helps build the confidence to thrive through the power of perspective. For more information, visit mercer.com, or follow on LinkedIn and X. Marsh McLennan is committed to creating a diverse, inclusive and flexible work environment. We aim to attract and retain the best people and embrace diversity of age, background, disability, ethnic origin, family duties, gender orientation or expression, marital status, nationality, parental status, personal or social status, political affiliation, race, religion and beliefs, sex/gender, sexual orientation or expression, skin color, or any other characteristic protected by applicable law. Marsh McLennan is committed to hybrid work, which includes the flexibility of working remotely and the collaboration, connections and professional development benefits of working together in the office. All Marsh McLennan colleagues are expected to be in their local office or working onsite with clients at least three days per week. Office-based teams will identify at least one "anchor day" per week on which their full team will be together in person.
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