Risk and Compliance Governance Specialist

1 week ago

Sydney, New South Wales, Australia beBeeRisk Full time $150,000 - $200,000

About the Role

This is an exciting opportunity to join our team as a Governance Risk and Compliance Specialist. As a key member of our organization, you will play a vital role in ensuring that we maintain the highest standards of governance, risk management, and compliance.

Key Responsibilities

  • You will work closely with our Front Office teams to identify, assess, and mitigate risks and compliance issues.
  • You will provide front-line support to our Advisers, Associate Advisers, and Associates on risk and compliance matters.
  • You will build relationships with key stakeholders to promote a culture of risk and compliance awareness, oversight, ownership, and management.
  • You will assist in developing, maintaining, and reviewing risk and compliance frameworks, policies, procedures, and tools.
  • You will liaise with our Legal team to monitor regulatory changes and ensure timely implementation of applicable changes.
  • You will conduct assurance activities, including rolling Investment Adviser client file reviews and investigating incidents, breaches, and complaints.

Requirements

  • You must have 5+ years' experience in risk, compliance, and/or assurance in wealth management or with regulators.
  • You must have an understanding of Wholesale and Retail regulatory environments in Australia.
  • You must have experience overseeing wealth management advice business functions, including monitoring and conducting file reviews.
  • You must have knowledge of risk and compliance management frameworks and processes.
  • You must have local financial services laws and regulations knowledge.
  • You must have Australian Privacy Principles and Privacy Act 1988 knowledge.

Qualifications

  • You must have a Bachelor's degree in Commerce, Management, Finance, or Law.
  • You must have relevant industry qualifications/certifications, such as RG 146.

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