Posted on: 2019-01-24

Salary: AUD 100000.00 -> 120000.00 Per year

Job type: Permanent

 
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Excellent career pathways with a renowned company
A company culture built upon supporting agile and flexible work
Competitive salary package

BENEFITS

Excellent career pathways with a renowned company

A company culture built upon supporting agile and flexible work

Competitive salary package

ABOUT THE ROLE

A permanent role to assist in the identification and mitigation of key operational risks and ensure compliance with regulatory obligations. The successful candidate is required to have extensive experience in the financial advice industry to assist in the design of efficient and effective processes that support compliance and reduce risk. Also looking for practical experience in the design and implementation of regulatory change solutions and the monitoring of regulatory compliance within the financial advice industry.

DUTIES

  • Assist the Senior Manager in effectively embedding operational risk practices across the Advice business
  • Promote a strong risk and compliance culture where issues of controls are openly raised, discussed and challenged
  • Demonstrate awareness of legal and regulatory obligations and complies with requirements
  • Demonstrate ownership and accountability for controls
  • Identify issues and take action to address shortcomings or control failures
  • Comply with relevant internal processes, compliance and legislative requirements

SKILLS & EXPERIENCE

  • Minimum 5 years' experience in financial services and experience in internal/external audit or controls testing.
  • Knowledge of recent developments in financial services regulatory change
  • Understanding of financial planning practices and how they operate
  • Tertiary qualifications in a legal, business or financial advice related discipline
  • Understanding of the end to end financial planning advice process and documentation requirements
  • Understanding of advisers and investors needs
  • Understanding of relevant laws and regulations underpinning wealth business (e.g. Corporations Act, ASIC Regulatory Guides, FSC Guidance Notes)

HOW TO APPLY

If you would like to apply please either click the apply button or send an up to date resume to James.Harvey@Hudson.com

Due to the high volume of applicants only shortlisted candidates will be contacted.

Send job by email

Apply for Risk and Complaince Manager
Reference: GC/09526

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