Manager, Compliance

Manager, Compliance

If you live in Australia or New Zealand, you've likely heard of AMP. But at a time when society is changing, we are too. We're now a nimbler business with new leadership and thinking.

For us, these are exciting times. There's a real potential for big thinkers to help us redefine what financial services could be. And turn our legacy into something even more positive and powerful for the future.

**Help people create their tomorrow, while you create yours**

We help people with their banking, super, retirement and finances. Through upturns, downturns, recessions, and major life transitions. Every day, we help people see and make more of their financial potential, so that they can create their tomorrow. And we've been doing it for over 170 years.

If we do our job well, we genuinely add to the prosperity of our country and its people.

**How you'll make an impact**

The Platforms Risk, Compliance and Controls team operates as part of the three lines of defence (3LoD) risk management model within the Australian Wealth Management business. The team's role is to support the business in embedding and managing risk and compliance across the business. The team supports:

- Risk owners with the identification, assessment and control of risks to ensure AMPs business risk-taking is within risk appetite (including via an ongoing review of incident and issues as they arise).
- Risk, control and obligation owners via regular controls assurance testing
- Wealth remediation & incident investigation team and relevant incidents/issues owners with risk and compliance SME input
- SME input into Fraud investigations, Privacy matters and Financial Crime Compliance
- Supporting the Platforms businesses with management reporting on risk & compliance
- Projects and business leaders with advice in the solution design and implementation of regulatory change

The main purpose of the role is to:

- Monitor, oversee and support the business with ensuring compliance with relevant obligations.
- Oversee, manage and coordinate relevant scheme Compliance Plans (including audits)
- Support Regulatory change monitoring, change initiatives and ensuring broader Compliance obligations have been met
- Support relevant Projects with Compliance assessments and advise on Compliance matter

This role forms part of the team that will focus on supporting Group Executive Platforms and the Director of Operations Platforms, in managing the end-to-end risk and compliance environment for the Platforms Wealth Division. To achieve this outcome, this is a highly visible business facing role, and you are responsible for building strong relationships with key stakeholders. Your compliance expertise will support the Platforms Division in relation to the identification, documentation and ongoing management of compliance with obligations. This will involve providing insight, advice and hands-on support to help drive a strong risk and compliance culture.

Primary responsibility
- Specialist role in overseeing compliance with broader obligations, in addition to managing scheme Compliance plans E2E.
- Specialist role in supporting regulatory change across key Wealth legal entities.
- Providing expert compliance advice in key projects and regulatory change initiatives, which involves implementation, to evidence effective compliance.
- Overseeing and delivering project outcomes, interpreting requirements, completing traceability matrix' and updating obligations in the central Risk and Compliance system.
- Ensuring project compliance requirements are met (governance).
- Assisting with relevant review of disclosure materials (product, PDS, forms/online, Marketing).
- Scanning external environment for industry updates and interpreting regulatory change requirements.
- Support Head of and Senior Manager Risk, Compliance and Controls in supporting the implementation of the Enterprise-wide Compliance Management Framework across the Platforms Division.
- Oversight of the E2E control environment supporting compliance, providing recommendations and advice on priorities in addressing areas requiring improvement.
- Support the business with conducting compliance reviews as required to provide understanding of the legal and regulatory obligations as required.
- Deliver training on compliance and conflicts management to the business as required
- Reporting on compliance matters to Leadership teams or Risk Committees as required.
- Support the business (and broader Line 1 Risk, Compliance & Controls team) with analysis and interpretation of key risk indicators results as they relate to compliance risks, including identifying systemic issues for escalation and investigation

Additional responsibilities as part of the broader Line 1 Risk, Compliance & Controls team may include:

- Support project activity dedicated to the uplift in compliance obligation documentation and mapping to processes, risks and controls for the Platforms business and the support functions s