Risk and Compliance Officer

2 weeks ago

Melbourne, Australia FNZ Full time

The role

As a Risk & Compliance Officer, you'll be at the heart of our Australian business, ensuring that our risk and compliance activities run smoothly and efficiently. Reporting to the Head of Risk and Compliance, you'll be part of our dynamic Asia-Pacific Risk and Compliance team, working alongside talented professionals who share your passion.

Together, we strive to meet our risk and compliance obligations in a consistent and effective manner.

But that's not all Your role goes beyond internal processes. You'll also have the chance to make a real impact on our clients by supporting the evolution of their risk and compliance practices. With day-to-day interactions with stakeholders and clients, you'll build valuable relationships while safeguarding our interests.

The responsibilities will include:

- Be the go-to expert in risk and compliance, fostering a culture of awareness and adherence within the company.
- Collaborate with the Head of Risk and Compliance to enhance our Risk Management and Compliance Frameworks and associated policies.
- Keep our Risk & Compliance policies and procedures up to date and monitor compliance.
- Assist with various risk and compliance matters, including AFSL, Privacy and Corporation Act, ASIC, and APRA regulatory guides.
- Develop and implement effective due diligence policies and procedures.
- Monitor key risk indicators, loss events, and reports to identify opportunities for control improvements and provide recommendations.
- Provide expert advice to clients and projects on risk and compliance matters.
- Ensure compliance with service level agreements by staying updated on client requirements.
- Investigate and address any risk events or breaches, determining their root causes and taking appropriate remedial actions.
- Conduct assurance activities to assess the effectiveness of risk controls.
- Prepare monthly risk and compliance reports for clients.
- Offer guidance to internal and external stakeholders on compliance and risk matters related to Wealth Management products.
- Provide independent oversight and advisory services to the business, including project delivery and risk assessments for changes or outsourcing.
- Collaborate with Internal Audit, project and process governance teams, legal departments, and other Risk and Compliance professionals to strengthen our controls framework
- Relevant tertiary qualification or equivalent;
- Prior experience in internal audit, risk or compliance is required.
- Extensive knowledge in Platform/Wrap offerings including IDPS/IDPS-Like and Superannuation Products is essential.
- Sound knowledge of the Australian Financial Services industry and the related regulatory environment including AML/CTF Act, Privacy Act; Corporations Act, SIS Act
- Demonstrated understanding of familiarity with relevant APRA Prudential Standards, ASIC Regulatory Guides and AUSTRAC requirements.
- Prior in-depth knowledge of reviewing and advising on marketing collateral and PDS in line with regulatory requirements.
- Strong relationship management and interpersonal skills.
- Demonstrated ability to support required behavioural and cultural change, as well as possess strong commercial acumen and pragmatic approach to driving change.

Why should you join us?

We offer a competitive salary, financial reward high performance and global career opportunities in the UK, Canada, Czech Republic, Australia, New Zealand or China.

As part of our team, you'll enjoy generous employee benefits, including 20 days annual leave plus an extra 6 paid days after 12 months, full health and life insurance coverage, volunteer leave, and 26 weeks of Company Paid Parental Leave. Plus, refer a friend and receive a generous bonus. And so much more

Join us and make a difference. Be part of a team that's changing the world.

About FNZ

FNZ was founded with a mission to use cutting edge technology to open up wealth - for end investors and business partners.

That means making wealth management more accessible and personalized for all people, not just high net worth. We believe everyone can create a better life by saving, investing, and managing their money well.

FNZ has created wealth’s growth platform - a global, end-to-end wealth management platform. We have merged a modern adviser and end investor experience with sophisticated investment administration and business operations. The platform includes app integrations, providing access to third-party, FNZ-delivered, or customer proprietary solutions.For more information, please

reach out to us

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