Operational Risk Specialist

4 weeks ago

Melbourne, Victoria, Australia Anton Murray Consulting Full time
Operational Risk Manager

Melbourne
Wealth Management
Contract or Temporary

Our client, a global financial services firm, is seeking an experienced Operational Risk Manager to join their Wealth Management business on an initial contract basis.

The primary function of this role is to implement and monitor the firm's branch supervisory manual and support the business in operating within specific risk appetite levels.

Key Responsibilities:
  • Develop strong working relationships with staff to foster a robust 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 on their regulatory and risk obligations, as well as proactively manage 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.
  • Conduct detailed, documented account reviews, including preparing reports for advisers and the State Manager on the outcomes of these reviews.
  • Collaborate 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:
  • 3 to 4 years of compliance or risk experience within a financial services setting, ideally with an equities focus.
  • First line of Defence risk.
  • University Degree qualified in Finance, Business or Economics preferable but not essential.
  • Recognised industry qualifications preferred but not essential.
  • ASIC RG 146 and ASX Accredited Derivatives Adviser (ADA Level 1) accreditations are desirable.

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