Risk and Governance Leader

1 month ago

Sydney, New South Wales, Australia Commonwealth Bank of Australia Full time

About Our Business & Team:

We are Australia's leading online retail stockbroker, providing customers with online and mobile trading solutions through CommSec.

The CommSec Line 1 Risk Chapter Area drives proactive risk management practices to support a best-in-class customer experience. We achieve this through accurate assessment and timely reporting of our risk and compliance environment, adequate maintenance of our Australian Financial Services License.

The Governance team ensures confidence that risks are identified and appropriately managed. This is done through analysing business processes and implementing a control and governance framework to reduce risk.

The team supports the CommSec leadership in making informed decisions through the management of, and reporting to, key governance committees; maintaining the compliance arrangements around our Australian Financial Services License, and coordinating the assessment and implementation of Group Policy and Regulatory changes.

You will be empowered to make a difference at all levels of our business. You will be challenged in a role that allows access to all aspects of our business and a variety of project types. You will have the opportunity to come up with innovative ideas to enhance the oversight and governance of non-financial risk across our business. You will also have opportunities to learn and develop in the role across all of the areas of responsibility of the Line 1 risk team.

Key Responsibilities for This Role Include:

  • Leading a high-performing team that provides a comprehensive and integrated risk service, providing risk management advice, coordination and implementation of operational risk management activities including:
  • Maintenance of the CommSec Governance & Oversight Framework and Subsidiary Governance Framework.
  • Reporting of Non-Financial risks, including deep-dives, incidents, NFRC reporting and CommSec Board reporting.
  • Input to and writing of papers for key governance committees including CommSec Board.
  • Administration of CommSec Licences; Coordination of license-related attestation.
  • Appointment and on-going management of CommSec Responsible Managers and Supervisory Staff.
  • Coordination of the assessment and implementation of Group Policy and Regulatory changes.
  • Coordinating and responding to regulatory requests and law enforcement agency requests.
  • Controls performance and testing.
  • Liaising regularly with key stakeholders across our organisation, cross Business Unit risk colleagues in the broader Line 1 Risk community, and Line 2 & 3 Risk and compliance.
  • Exhibit exemplary leadership of Risk Culture in accordance with our policy and relevant laws and proactively lead others to do the same.
  • Inspire, motivate and engage team members to achieve business objectives.
  • A attract, develop and retain team members, and provide them with quality opportunities for education, exposure and experience. Use coaching skills to develop the team.
  • Build diversity and inclusion.
  • Role model behaviours that are consistent with our values.

We're interested in hearing from people who have:

  • Experience as a leader in the Stockbroking or Financial Services industry in a Governance, Operational Risk or Compliance capacity.
  • An appreciation of the impact of the regulatory environment and scrutiny on the business portfolios and understanding the impact of this on the control environment.
  • Negotiation and Influencing Skills and a strong people leader.
  • Ability to think critically and analytically and use data-driven insights to solve problems.
  • Facilitation and presentation skills.
  • Understanding of equities, stockbroking and margin lending businesses is advantageous.

As a senior professional in our team, you can expect an attractive salary range of AU$120,000 - AU$180,000 per annum, depending on your experience and qualifications. If you're already part of the Commonwealth Bank Group (including Bankwest, x15ventures), you'll need to apply through Sidekick to submit a valid application. We're keen to support you with the next step in your career.

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