Head of Risk and Compliance

4 weeks ago

Melbourne, Australia FNZ Group Full time

Head of Risk and Compliance - Australia

As the Head of Risk and Compliance - Australia, you will play a pivotal role in enabling FNZ Group to meet its strategic goals while protecting the organisation's value and reputation. You will be responsible for driving the development and implementation of FNZ's risk and compliance framework, ensuring it meets the standards expected by clients and regulators. In this key leadership position, you will report to the APAC CRO and CO to provide crucial insights, oversight, and constructive challenges on all risk and compliance matters, forming part of the second line of defence (2LOD) to mitigate risk effectively.

You will lead the Australian Risk and Compliance team, fostering a culture of risk awareness, accountability, and continuous improvement across the business. In this role, you will work closely with internal and external stakeholders, including regulatory bodies, auditors, and senior management, offering expert guidance and advice on compliance matters. You will also be responsible for delivering regular reports to senior leadership and the board, ensuring that significant risks and compliance issues are communicated clearly and effectively to support FNZ's business initiatives.

The responsibilities will include:

- Design, implement, and maintain a comprehensive risk management framework, ensuring alignment with regulatory requirements and industry best practices.
- Focus on the management and maintenance of our regulatory obligations in Australia, including FNZ's AFSL responsibilities related to custody services, as well as compliance with Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF) laws, and Data Protection and Privacy laws.
- Collaborate with FNZ senior management, boards, and committees to implement and maintain a robust three lines of defence model.
- Oversee engagement with regulators, including the Australian Securities and Investments Commission (ASIC) and other regulatory stakeholders, to ensure FNZ is well represented and maintains positive, mutually beneficial relationships.
- Analyse new legislation, assess its impact on FNZ and its customers, and work with business partners to ensure successful implementation.
- Develop and implement relevant control frameworks to address regulatory and other change requirements.
- Manage the implementation and embedding of policies and procedures within the Global Risk and Controls Framework for the region.
- Oversee compliance with Privacy and Data Protection laws, including conducting Privacy Impact Assessments.
- Oversee AML/CTF processes and ensure ongoing compliance.
- Conduct risk assessments and evaluations across the business, ensuring that appropriate mitigating actions are in place. Provide Risk and Compliance reporting aligned with global standards, tailored for both internal and external audiences, including participation in FNZ's regional board meetings.
- Manage local risk and compliance committees and report to the board as required.
- Oversee local requirements for non-statutory audits, such as GS007/AFSL/SOC2 contros audits.
- Develop and manage the Annual Compliance Monitoring Plan for Australia.
- Identify and manage emerging risks in collaboration with business owners.
- Assist in promoting a positive risk culture throughout the organisation.
- Provide support, education, and training to staff to foster a positive risk culture and enhance compliance awareness within the organisation.
- Building and maintaining relationships with internal and external parties.

This role requires strong Risk and Compliance experience in a management capacity. The following professional and functional qualities are highly desirable for prospective applicants:

- Degree Qualified and appropriate experience in a similar role within the Financial Services industry or professional services firm is essential.
- Proven track record as a senior leader within the financial services industry, showcasing the ability to drive strategic initiatives and lead teams effectively.
- Deep understanding of the Australian financial services regulatory regimes including data privacy, business continuity, AML, custody, wrap platforms and superannuation.
- Experience in engaging with ASIC and other relevant Australian regulators
- Relevant experience within wealth management/wrap platform and custodial function
- Experience of implementing and overseeing AML/CTF and Privacy/Data Governance compliance programmes
- Experienced in working collaboratively across all levels of the organisation, from frontline staff to executive leadership.
- Well-developed relationship management and interpersonal skills essential for managers in large financial services institution and a proven record of obtaining stakeholder buy in across all levels of the business.
- Strong communication skills to be able to engage directly with the business and external parties;
- Ability to understand the commercial impact of regulatory and c

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