Manager Risk and Controls

1 week ago

Sydney, Australia Commonwealth Bank Full time

**About the business & team**

CommSec is Australia’s leading online broker providing equities, options, warrants, international shares, exchange traded funds, research and margin lending services to retail and sophisticated clients.

Customer Engagement and Broking is a key part of CommSec Retail and is responsible for the service of customers, execution and management orders across Cash Equity, ETF, International and Options.

The Distribution Line 1 Risk team provides Line 1 Risk Management support services to the all of CommSec Customer Engagement and Broking. This includes ensuring distribution compliance, control design, regulatory change implementation, incident and issue management and root cause analysis.

**Responsibilities and accountabilities include**:

- Manage root cause analysis of issues and incidents, identifying and implementing control improvements
- Responsible for the effective design of controls for all new and changing processes and operations, and support the business through the implementation
- Identify, initiate and manage actions to mitigate risks and to strengthen controls, including issues identified through audits and other external processes
- Deliver and complete the required risk-in-change assessments for CommSec Customer Engagement and Broking arising from changes to products, processes and technology
- Ensure compliance with the Group RiC Standard and Procedure, and ensure records and evidence are retained in the RiC tool and RiskInSite
- Manage data quality / maintain various databases (including RiskInSite) and provide insights on Weekly basis
- Contribute to a proactive risk and control culture and collaborate with the business
- Work effectively with Line 2 Risk and Line 3 colleagues to determine optimal course of action to remediate any significant issues within CommSec.
- Inform and influence senior stakeholders for better risk outcomes.
- Be able to participate in project related work, working groups and take on other tasks as required that may arise from time to time.

**Skills and experience preferred**:

- Knowledge of non-financial risk, including operational, compliance and conduct risk, and policies, processes and tools.
- Background in effective control design and risk framework management including risk and control self-assessments (RCSAs), incident management, issue management
- Strong stakeholder engagement and management, and advisory skills. Demonstrated ability to engage and influence a range of key business partners to gain alignment to objectives and support to deliver better outcomes, and being a trusted advisor to stakeholders.
- Project management skills with a track record of delivering quality outcomes on time.
- Ability to problem solve and think critically, using data and other relevant information, in order to propose a solution that reduces risk and enables better outcomes.

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Advertising End Date: 29/06/2025

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