Operational Risk Manager - Wealth Management - 12-month contract
Anton Murray Consulting Melbourne VIC 3004
Pay information not disclosed by advertiser
Key points we found
- Implement and monitor the branch supervisory manual to ensure compliance with risk appetite levels.
- Develop strong relationships with staff to foster a risk-conscious culture within the branch.
- Provide guidance on regulatory and risk obligations for advisers and prepare Key Risk Indicator reporting.
Melbourne
Wealth Management
Contract or Temporary
Our client is a global financial services firm with an extensive presence in the Australian market.
Sitting within the Wealth Management business on an initial contract, this role’s primary function is to implement and monitor the firm’s branch supervisory manual and support the business in operating within specific risk appetite levels.
Key Responsibilities:
- Develop strong working relationships with staff to facilitate a strong risk culture within the branch.
- Responsible for identifying and providing guidance/solutions to the relevant State Manager and Head of Branch Supervision on risk issues.
- Responsible for providing guidance to advisers relating to their regulatory and risk obligations as well as proactively managing the firm’s advice/suitability framework to ensure compliance at all times.
- Responsible for preparing Key Risk Indicator reporting for the State Manager and investigating any material risks identified through reporting.
- Undertake detailed, documented account reviews including preparing reports for advisers and the State Manager on the outcomes of these reviews.
- Work with the Legal & Compliance team in respect of complaint resolution.
- Work closely with other risk functions within the business to enhance the supervisory framework and contribute to projects as needed.
- In conjunction with the State Manager, ensure the Branch maintains the ethical standards contained in the Company Code of Conduct; firm policies and procedures, regulatory and legislative requirements.
Key Skills:
- Ideally 3 to 4 years compliance or risk experience within a financial services setting, ideally with an equities focus
- First line of Defence risk
- University Degree qualified in Finance, Business or Economics preferable but not essential.
- Recognised industry qualifications preferred but not essential.
- ASIC RG 146 and ASX Accredited Derivatives Adviser (ADA Level 1) accreditations are desirable.
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Anton Murray Consulting
Anton Murray Consulting is a specialist recruitment consulting firm focused on providing high calibre Banking professionals to clients within the Investment Banking, Funds Management and Wealth Management sectors. We work on a diverse range of assignments across our primary markets of Sydney, Melbourne, Singapore and Hong Kong. We provide our clients with innovative solutions through our depth of knowledge in the local market and exposure to a candidate pool that spans across the globe. We also strive to offer real progression in the careers of our candidates who have built their experience through the Operations, Middle Office and Front Office sectors both domestically and abroad.