Executive Manager

1 week ago

Melbourne, Australia Industry Fund Services Full time

Flexible / Hybrid working opportunities - CBD offices
- Great team environment with highly skilled professionals
- Professional development and career progression opportunities

**Industry Fund Services (IFS)**
IFS are a leading provider of specialist financial products, services, and advice to Industry Super. Industry Super Funds are run to benefit members. This means that their profits are returned to members, not big corporate shareholders.

Our Legal, Risk & Compliance team is responsible for driving, supporting, and facilitating an efficient and innovative compliance culture throughout IFS. We do this through the provision of a number of key services to the IFS Group including legal and compliance advice and support, regulatory reporting, and audit implementation.

IFS are seeking an experienced Legal, Risk & Compliance Specialist with recent financial services exposure to work collaboratively with the Chief Executive & Operations Officer (CEOO) to manage the day to day Legal, Risk and Compliance operations of the IFS Group, providing specialised advice to the business, and managing the group Risk Management Framework, corporate policies, complaints handling, contract reviews and due-diligence.

**The Opportunity**
The Executive Manager - Legal, Risk & Compliance is responsible for the oversight and management of the legal, risk and compliance operations of the IFS Group, including management of our Risk Management Framework, risk controls, policies, incidents, breaches and complaints. The role also provides specialist advice to the wider business on compliance and legal matters, undertakes legal review of contracts and documents, and prepares reporting to committees and boards. This role will additionally be appointed to, and act as the IFS company secretary.

In this role you will:

- Act as the senior compliance SME to business units; Oversee AML/CTF program, including AUSTRAC reporting; complete regulator reporting (ASIC, APRA, AFCA etc); Maintain the Group’s incident and breach management systems (including breach investigation, remediation and reporting)
- Maintain the Risk Management Framework and collaborating with the CEOO to conduct risk assessments, etc and keep abreast of current and upcoming risks to the IFS Group and ensure IFS is well positioned to address and manage them
- Manage day to day operational communication with regulators (ASIC, APRA, AUSTRAC, AFCA etc), including lodgement of breach reports, complaints, responding to data requests etc.
- Act as the IFS Group’s Complaints Officer, receiving, investigating, resolving and responding to complaints (including via AFCA).
- Assist in the preparation of Board and Committee reporting on Legal, Risk and Compliance related information
- Prepare periodic information and education papers for the Board in relation to regulatory change and relevant industry events
- Act as and perform company secretary tasks for the board
- Manage a small team of risk and compliance professionals

**About you**:
You have good understanding of the compliance and regulated obligations of financial advisers and the provision of personal financial advice. You have a good understanding of prudential standards and requirements of superannuation trustees and of AML/CTF, Internal and External Dispute Resolution obligations on financial services licensees. You also have a good working knowledge of the financial advice and superannuation industries. You will have experience in managing, reviewing and revising corporate policies; managing a risk management framework and conducting risk management reviews; complaints handling/dispute resolution; and dealing with regulators.

You have highly developed communications skills and confidently and collaboratively engage with peers and stakeholders. You have a focus on quality and maintain a high level of personal integrity. You have honed planning and organising skills and you bring superior analytical and problem-solving capabilities and implement established research and analysis systems, demonstrate a willingness to embrace ambiguity and change along with strong critical thinking skills. You can clearly demonstrate your focus on service delivery, have a collaborative working style and a strong desire to see other team members develop and succeed.

**Qualifications**:

- Completed legal qualifications (either LLB or JD) are essential (note that a current practicing certificate is not required).

Experience
- A minimum 10 years’ risk and compliance experience within the superannuation and/or financial advice sectors
- Proficient legal experience in undertaking contract reviews, reviewing legislation and implementing regulatory change
- Deep understanding of compliance and regulatory requirements of Australian Financial Services Licensees
- Good understanding of the compliance and regulatory obligations of financial advisers and the provision of personal financial advice
- Good understanding of prudential standards and

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