Operational Risk Manager
3 weeks ago
Job Title: Operational Risk Manager - Financial Services Expert
Location: Melbourne
Wealth Management is seeking a skilled Operational Risk Manager to join their team. As a key member of the Wealth Management business, you will be responsible for implementing and monitoring the firm's branch supervisory manual and supporting the business in operating within specific risk appetite levels.
Key Responsibilities:
- Develop strong working relationships with staff to facilitate a strong risk culture within the branch.
- Identify and provide guidance/solutions to the relevant State Manager and Head of Branch Supervision on risk issues.
- Provide guidance to advisers relating to their regulatory and risk obligations, as well as proactively managing the firm's advice/suitability framework to ensure compliance at all times.
- Prepare Key Risk Indicator reporting for the State Manager and investigate any material risks identified through reporting.
- Undertake detailed, documented account reviews, including preparing reports for advisers and the State Manager on the outcomes of these reviews.
- Work with the Legal & Compliance team in respect of complaint resolution.
- Work closely with other risk functions within the business to enhance the supervisory framework and contribute to projects as needed.
- In conjunction with the State Manager, ensure the Branch maintains the ethical standards contained in the Company Code of Conduct, firm policies and procedures, regulatory and legislative requirements.
Key Skills:
- Ideal candidate will have 3 to 4 years compliance or risk experience within a financial services setting, ideally with an equities focus.
- First line of Defence risk experience is essential.
- University Degree qualified in Finance, Business or Economics is preferable but not essential.
- Recognised industry qualifications are preferred but not essential.
- ASIC RG 146 and ASX Accredited Derivatives Adviser (ADA Level 1) accreditations are desirable.
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