Compliance and Risk Management Lead
1 month ago
Location: Flexible
Sector: Asset Management
Type: Contract or Temporary
This pivotal position within the organization focuses on establishing a modern risk management framework, providing significant interaction with senior leadership and executive stakeholders. You will play a crucial role in shaping the organization's risk management strategies while collaborating with leaders to influence risk-related activities throughout the company.
We are looking for candidates with a legal background and over 5 years of experience in Risk and Compliance within Custody, Managed Investments, Corporate Trust, or Asset Management sectors.
The Risk & Compliance Manager will be tasked with defining and implementing the second line of defense in alignment with the Risk Management Framework. This role encompasses promoting awareness and effective management of operational risks, compliance mandates, and controls, including participation in business and regulatory initiatives, change management, and various projects.
This position will require close collaboration with management and staff, as well as audit functions.
Key Responsibilities:
- Foster exceptional relationships with all stakeholders to collaboratively drive change and deliver value while promoting a positive risk culture.
- Provide education and guidance to stakeholders on developing robust risk and compliance capabilities within the organization.
- Mentor and support the enhancement of risk and compliance skills within the team and across the organization.
- Represent the organization at relevant industry events and with regulatory bodies.
- Establish, maintain, and oversee governance, risk, and compliance frameworks that facilitate timely identification of issues and escalation to senior management.
- Ensure the Compliance Framework adequately addresses:
- Identification and documentation of compliance obligations across the business unit
- Monitoring compliance with obligations
- Identification, assessment, and resolution of incidents
- Compliance training initiatives
- Ensure the risk and compliance frameworks and related policies are effectively maintained and implemented across the organization.
- Collaborate with auditors and external consultants as necessary to enhance the effectiveness of operational risk and compliance implementation.
- Provide necessary information to external auditors for audits related to financial statements and compliance.
- Educate staff and management on sound risk management practices, processes, and systems.
- Conduct targeted assurance reviews to ensure risks are managed appropriately and effectively.
Required Experience:
- Legal qualifications / LLB Degree
- More than 5 years of experience in risk and compliance roles within financial services.
- Experience in Custody, Managed Investments, or Asset Management sectors is preferred.
- Strong understanding of Trustee ACL and AFSL regulatory obligations.
- Excellent interpersonal and communication skills.
- Comprehensive understanding of business processes, controls, and assurance mechanisms.
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