Senior Manager Risk, Compliance

• Design and document controls that are efficient and effective and support compliance with obligations.
• Support the development and execution of the business control testing plan to provide assurance on the design and operating effectiveness of the control environment
• Support the delivery of change initiatives across the business with required risk and compliance activities (e.g. change risk assessments, privacy impact assessments)
• Plan and execute risk deep dives across the business as required where there are systemic issues or other matters where it is evident there are opportunities for improvement
• Undertake outsourcing risk assessments as required to support sourcing activities
• Support the business with managing Conflicts of Interest
• Analyse and contribute risk, compliance, control information as required to risk forum, Board, Committee and other reporting and provide insights that drive better management of risks, controls and obligations in the business
• Support initiatives to instil and maintain an appropriate risk culture in the business
• Develop, implement and embed initiatives to ensure sustainable risk management practices
• Develop and deliver risk, compliance, controls related training
• Support the Head of and GM to lead the identification, assessment and management of risks and maintain associated documentation in the risk system
• Undertake active monitoring of the risk profile (including risk and control assessments, incident and issue analysis), Risk Appetite Statement metrics and Key Risk Indicators for assigned businesses within the Super & Investments Division
• Support the HO / GM to ensure all relevant policy requirements are implemented and embedded across the business, specifically policy requirements as they relate to risk and compliance
• As required support the process for responding to regulatory changes
• As require support responses to Regulators where there are requests for information (e.g. ASIC notices)
• Support the co-ordination of key external audit activities (e.g. IDPS / MIS / AFSL audit)
• Support the Risk Management Declaration (RMD) process on an annual basis
• Support activities with respect to business awareness and understanding of compliance plans
• Support the business by providing advice and solutions for incoming regulatory change
• Maintain strong stakeholder relationships and provide risk and compliance SME advice as required to the business
• Support the maintenance of Business Continuity requirements to ensure the business can maintain resilience in times of disruption
• Support overall maintenance of MIS, Super, IDPS compliance plans
• Be a champion for the GRC system and support the business to self serve through the use of dashboards etc within risk tools
• Ensure quality documentation of all risk and controls information in the GRC system
• Knowledge of the risk appetite position for the business and supporting decision making and activities within appetite

• Previous 7 years experience with risk & compliance expertise who have previously worked in a wealth business and driving a collaborative, high performance culture
• Intermediate technical experience in risk, compliance, controls as it relates to wealth management and the relevant end to end business operations
• Understanding of competitors propositions and Superannuation/Investment industry trends
• Understanding of the regulatory and compliance regime for financial services;
• Appropriate tertiary qualifications or relevant studies required
• Excellent relationship development and stakeholder management skills applied within a complex matrix business.
• Strong ability to demonstrate day to day decision making that drives good customer outcomes and supportive environment for co team members.
• Demonstrated commercial acumen
• Strong ability to analyse difficult problems and issues and identify solutions that improves or modifies existing processes or ways of working.
• Strong delivery focus skills, including strong planning with an ability to prioritise work to meet deadlines, manage dependencies, assumptions, risks and issues and instil stakeholder confidence
• Ability to establish effective project governance and controls to deliver quality outcomes
• Excellent communication skills in written, verbal, virtual and face to face
• Strong interpersonal skills, able to work well with senior team members to solve problems, or complex client accounts where necessary
• Proven ability to work in an agile, dynamic environment
• Flexibility to work outside of immediate role remit if needed

AMP