Enterprise Risk Specialist

3 days ago

Sydney, New South Wales, Australia beBeeRisk Full time $130,000 - $200,000
Strategic Risk Manager

As a key member of the Compliance Team, you will play a vital role in identifying, assessing, and mitigating operational, regulatory, and compliance risks across our wealth management business.

Our ideal candidate will have extensive experience in risk and/or compliance within the financial services or wealth management sector. They will possess a sound understanding of AFSL obligations, ASIC regulatory guides, and ASX market integrity rules. In addition, they will be familiar with regulatory reporting platforms and have excellent stakeholder management, written communication, and analytical skills.

Key Responsibilities:
  • Lead the identification and monitoring of operational, regulatory and compliance risks across all business areas.
  • Coordinate comprehensive control testing programs across key business lines.
  • Design and enhance risk and compliance policies in line with legal reforms, market developments, and internal risk appetite.
  • Maintain and update the enterprise risk register, including tracking of incidents, breaches, and remediation actions.
  • Liaise with regulators (ASIC, AUSTRAC, ASX) to manage correspondence, submissions, and support inspections or inquiries.
  • Support project work including the implementation and refinement of control frameworks.
  • Advise on new financial products, corporate communications, marketing materials, and client disclosures to ensure regulatory compliance.
  • Oversee the complaints and breach management framework, including escalation protocols and root cause analysis.
  • Deliver periodic risk and compliance training across the firm, including induction and thematic sessions.
  • Evaluate and manage third-party risks related to introducers, licensees, and outsourced vendors.
  • Assist in the preparation and delivery of internal risk reports to key stakeholders and Board committees.
Required Skills and Qualifications:
  • At least 5 years' experience in risk and/or compliance within the financial services or wealth management sector.
  • Sound understanding of AFSL obligations, ASIC regulatory guides, and ASX market integrity rules.
  • Familiarity with regulatory reporting platforms.
  • Excellent stakeholder management, written communication, and analytical skills.
  • Qualifications / accreditations in a relevant discipline including Governance and Risk, Financial Advice, Finance, Law, Economics or Business.
  • High integrity and a commitment to upholding regulatory standards and ethical behaviour.
Benefits:

This is an opportunity to join a high-performance team culture where you'll become an integral part of Australia's premier wealth management group.

Others:

Working closely with the Compliance Team, you will contribute to delivering exceptional outcomes for our clients and stakeholders.

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