Risk & Compliance Manager - Managed Investments / Trusts - 12-month initial contract

2 months ago

Sydney, Australia Anton Murray Consulting Full time

Melbourne, Sydney
Asset Management
Contract or Temporary

This is a key role within the business, delivering a contemporary risk management framework with extensive exposure to senior leaders and Executive stakeholders. You will have an opportunity to contribute to the development of the organisation’s framework whilst partnering with leaders to influence risk activities across the organisation. 

We are seeking candidates with legal degrees and 5 + years’ Risk and Compliance experience from within a Custody, Managed Investments, Corporate Trust and/or Asset Management business. 

The Risk & Compliance Manager is responsible for defining and embedding the 2nd Line of Defence, in accordance with the Risk Management Framework. This role involves driving awareness and effective management of operational risks, compliance requirements and controls, including involvement in business and regulatory initiatives, change management and projects. 

The role will have a close working relationship with management and staff, as well as with audit functions.

Responsibilities:

  • Develop outstanding relationships with all stakeholders to collaboratively drive change and deliver value and be an advocate for a positive risk culture.
  • Educate and advise stakeholders regarding the development of strong risk and compliance capabilities within the business.
  • Mentor, guide and support the development of strong risk and compliance capabilities within the team and across the business.
  • Represent the group as relevant at industry events and with regulators.
  • Build, maintain and provide oversight and advice on governance, risk and compliance frameworks which facilitate timely identification of issues and escalation to the Head of and the Board.
  • Ensure the Compliance Framework adequately addresses:
    • Identification and recording of compliance obligations across the business unit
    • Monitoring Compliance with obligations
    • Identification, assessment and resolution of Incidents
    • Compliance Training
  • Ensure the risk and compliance frameworks and related policies are maintained and implemented across the business 
  • Liaise with auditors and external consultants as necessary to improve the effectiveness of operational risk and compliance implementation
  • Responsible for providing information to external Auditors for AFSL, Financial Statements and ASIC Deed Poll Audits. Educate staff and management across the business in relation to sound risk management practices, processes and systems
  • Undertake targeted assurance reviews to ensure risks are appropriately and effectively managed

Experience:

  • Legal background  / LLB Degree 
  • Over 5 years’ experience in financial services risk and compliance roles.
  • Experience within Custody, Managed Investments and/or Asset Management or corporate trustee businesses (preferred)
  • Good understanding of Trustee ACL and AFSL regulatory obligations
  • Excellent interpersonal and communication skills
  • Understanding of business process, controls and assurance.

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