Head of Line 1 Risk, Compliance and Controls

4 weeks ago

Sydney, Australia AMP Limited Full time

If you live in Australia or New Zealand, you’ve likely heard of AMP. But at a time when society is changing, we are too. We’re now a nimbler business with new leadership and thinking.

For us, these are exciting times. There’s a real potential for big thinkers to help us redefine what financial services could be. And turn our legacy into something even more positive and powerful for the future.

**Help people create their tomorrow, while you create yours**

We help people with their banking, super, retirement and finances. Through upturns, downturns, recessions, and major life transitions. Every day, we help people see and make more of their financial potential, so that they can create their tomorrow. And we’ve been doing it for over 170 years.

If we do our job well, we genuinely add to the prosperity of our country and its people.

**How you’ll make an impact**

The core purpose of the Head of Line 1 Risk, Compliance and Controls is to lead the management of risks within appetite, ensure controls are designed and operating effectively and the Platforms business is compliant with the relevant obligations.

This role will focus on working with the Platforms business to ensure risks are managed, controls are in place and operating effectively, compliance obligations are well understood, and mechanisms are in place to comply. This will support growth in the business and protect the licence and the reputation of the business.

Specifically:

- Ensure the design and documentation of controls that are efficient and effective and support compliance with obligations.
- Lead the development and execute control testing plan across the business to provide assurance on the design and operating effectiveness of the control environment
- Lead the team to participate in the delivery of change initiatives across the business with required risk and compliance activities
- Lead the planning and execution of risk deep dives across the business as required where there are systemic issues or other matters where it is evident there are opportunities for improvement
- Lead / support outsourcing risk assessments as required to support sourcing activities
- Lead the provision of risk, compliance, control information as required to risk forum, Board, Committee and other reporting and provide insights that drive better management of risks, controls and obligations in the business
- Lead the implementation and embedding of initiatives to ensure sustainable risk management practices
- Lead the delivery of risk, compliance, controls related training across the business
- Lead the team in the identification, assessment and management of risks
- Ensure documentation of risk, control information in the risk system to a high level of quality
- Lead the active monitoring of the risk profile (including risk and control assessments, incident and issue analysis), Risk Appetite Statement metrics and Key Risk Indicators for assigned businesses within the Platforms business
- Lead the business to embed policy requirements as required across the Platforms business
- Lead implementation of regulatory change
- Lead the Risk Management Declaration (RMD) process on an annual basis
- Lead activities with respect to business awareness and understanding of compliance plans
- Maintain strong stakeholder relationships and lead the provision of risk and compliance SME advice as required to the business
- Lead the maintenance of Business Continuity requirements to ensure the business can maintain resilience in times of disruption
- Lead overall maintenance of compliance plans
- Be a champion for the GRC system and support the business to self-serve through the use of dashboards etc within risk tools
- Knowledge of the risk appetite position for the business and supporting decision making and activities within appetite

**What you will bring to the team**

Ideally, you will bring the following experiences to this role:

- Previous 10+ years experience in relevant professional role and working across a fast paced, customer/client service orientated team environment and/or financial service industry and driving a collaborative, high performance culture
- Strong understanding and experience of wealth management and financial planning processes
- Strong understanding of the regulatory and compliance regime for financial services
- Relevant industry/tertiary qualifications
- Applies an advanced understanding of a specialised discipline and/or intermediate understanding of other disciplines.
- Applies strong understanding of own Sub‐Division and Division and how these fit within the Group and its competitive environment.
- Contributes to new products, processes, standards or business plans in support of BU/Group strategy, with some impact on results for a division.
- Manages teams through intermediate to advanced leadership capabilities and technical capability within most areas of a line of business/function within a BU.
- Analyses difficult to complex

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