Risk and Compliance Manager
1 week ago
The Risk and Compliance Manager will play a pivotal role in promoting a strong culture of risk awareness and compliance management across the business. This individual will be responsible for supporting the Risk and Compliance function with a focus on AFSL requirements and compliance monitoring, reporting to the Senior Risk and Compliance Manager.
Key Responsibilities:- Collaborate with the Risk and Compliance team to ensure compliance with AFSL requirements and regulatory obligations.
- Assist in the review and monitoring of the AFSL Compliance Plan to ensure it remains effective and up-to-date.
- Ensure timely and accurate regulatory lodgements of schemes, including AML/CTF and breach reporting.
- Lead the daily review and approval of marketing materials to ensure compliance with regulatory requirements.
- Develop and maintain operational relationships with key service providers to ensure compliance with regulatory obligations.
- Investigate and report compliance breaches, and implement corrective actions to prevent future occurrences.
- Continuously review and update compliance policies, procedures, and training programs to ensure they remain effective and relevant.
- Ensure timely and accurate reporting of compliance and risk-related issues to senior management, including regulators, auditors, and service providers.
- At least 5+ years of compliance experience in a financial institution setting or consulting to such institutions or relevant areas in a financial services organisation.
- Has in-depth knowledge of AML/CTF and breach reporting.
- Strategic thinking – ability to identify problems, research, consider and synthesise many pieces of information, design solutions, solve problems and use initiative to drive results.
- Ability to collaborate effectively, deliver results through others and foster positive relationships.
- Strong written and oral communication skills.
Aboriginal and Torres Strait Islander Peoples are encouraged to apply. To apply, please click the link below or contact Ali Heffernan for a confidential discussion.
Location: Sydney CBD
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