Risk and Compliance Manager

2 weeks ago

Melbourne, Victoria, Australia Optimum Consulting Full time
Job Title: Risk and Compliance Manager

The Risk and Compliance Manager will play a pivotal role in ensuring that the company operates its business in compliance with its AFSL, regulatory obligations and fiduciary duties.

Key Responsibilities:

  • Liaise with external audit and regulatory bodies as required.
  • Administer the company's Code of Conduct.
  • Develop, update and implement the company's policies and procedures for ongoing compliance with the regulatory obligations associated with the AFSL.
  • Lead and coordinate quarterly submissions to the Board for approval.
  • Develop and implement an annual compliance training program.
  • Lead and coordinate the updating and investigation of breaches and incidents, and manage registers.

Data Privacy and Cybersecurity:

  • Develop, update and manage the company's data privacy and cyber security programs.
  • Liaise with the external service provider to regularly stress-test the company's technology systems and processes.

Requirements:

  • Relevant tertiary qualifications (Law or Commerce/Business).
  • 8 - 10 years of business experience, preferably in the financial services field.
  • Strong verbal and written skills, excellent attention to detail and familiarity with the AFSL licencing regime and requirements in relation to breach reporting, audit and compliance.
  • Some team leadership experience is desirable.

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