Risk Frameworks and Controls Manager

3 weeks ago

Sydney, Australia LGT Crestone Wealth Management Full time

Min Experience- 7-12 yearsYour team
- The Risk, Legal and Compliance Team consists of 24 people with varying areas of expertise, who are based in Sydney and Melbourne
- Our work includes risk, compliance, legal, financial crime, regulatory liaison, information security, company secretarial, policy and assurance functions
- The team has extensive interaction across all levels of the business and uses influencing and persuasion behaviours to manage discussions relating to risk and compliance and achieve the right results for the organisation

Your Role

Overall, your responsibilities relate to the building, implementation and management of appropriate risk and compliance frameworks and a universal controls environment. This includes making sure an appropriate level of control monitoring takes place across the organisation in collaboration with the Internal Audit team and exploring and monitoring critical risk areas when they arise in the business.

More specifically your responsibilities will include the following areas of focus and such other similar matters as agreed from time to time:

- Ongoing development and management of the risk and compliance frameworks and controls environment, including to align to LGT Group methodologies and taxonomy
- Advice to organisation on new product and service offerings and the potential impact on the risk and compliance frameworks and appropriate controls
- Oversight of the regular testing of the controls environment and review and distribution of results
- Corporate Risk Register, Risk Appetite Statement and Compliance Plan review and maintenance
- Management of Targeted Review program
- Manage the ongoing currency of Risk, Legal and Compliance policies/procedures
- Collaborate on regulatory change initiatives that need to be implemented
- Corporate insurance renewal processes
- Regular risk and compliance attestation processes
- Oversight of third-party risk management (particularly with respect to key suppliers and outsource providers) and advice to the business in relation to procurement activity and vendor management
- Regulatory reviews - Modern Slavery, Privacy Impact Assessment and Fraud Review
- BCP Management and DRP management - the role is also the BCP Manager
- Regular reporting to the Executive Committee, and attendance and minute taking at Risk and Compliance Committee meetings

Your skills & experience

Required
- 7-12 years of experience in relevant roles
- Technical skills critical to perform the role:

- Risk and compliance management
- Control frameworks
- Strong written and verbal communication

Desirable
- Financial services experience
- Data analytics mindset
- Business training / public speaking
- Management experience

Your role competencies
- Good judgment and the highest integrity and ethics
- Can hold the ground for what is right
- Pragmatic and able to see commercial side
- Strong analytical and problem-solving skills
- Ability to distil information to critical matters
- Resourceful, self-starter, show initiative
- Team player, collaborative
- Strong influencing / persuasion skills
- High levels of accuracy and driven in providing high quality standards of work
- Able to multi-task / manage diverse activities
- Resilient
- Collaborative

Your qualifications
- One or more of the following:

- Audit / Accounting
- Commerce / Business
- Risk / Compliance

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