Risk and Compliance Manager - Financial Advise
Job Description
Risk and Compliance Manager - Financial Advice Our client is seeking a seasoned Risk and Compliance Manager to join their dynamic team in Sydney. This role offers an exciting opportunity to implement a robust risk management framework from a Line 1 perspective, ensuring the business operates within regulatory guidelines. The successful candidate will be a change leader, mapping out procedures for financial advice and assisting with incident resolution. This role is perfect for someone with a strong understanding of financial markets and investment management processes. What you'll do: Implement a robust risk management and compliance framework with oversight and monitoring for the business. Map out procedures and processes for financial advice. Assist with the resolution of incidents. Ensure appropriate procedures, risk and control guidelines are maintained and adhered to. Identify, update and maintain gaps in controls and procedures. Work with the business to come up with solutions for compliance. What you bring: Strong understanding of financial markets and investment management processes. Risk, Legal or Compliance experience (10+ years) from a funds management or wealth management background. Tertiary qualification and/or industry specific qualification such as a business, law degree or other equivalent university qualification. Strong organisational, analytical, research and administrative skills. Proficiency in Excel and Word. Excellent administration skills and willingness to learn. Some experience in regulatory and operational compliance is preferred. What sets this company apart: Our client is renowned for its commitment to providing high-quality financial services. They pride themselves on fostering an inclusive work environment where every employee is valued for their unique contributions. They offer flexible working opportunities to support work-life balance, generous pensions contributions to secure your future, training opportunities to foster your professional growth, and a supportive leadership team that encourages collaboration and innovation. What's next: Ready to take the next step in your career? Don't miss this exciting opportunity! Apply today by clicking on the link. We look forward to receiving your application! Aboriginal and Torres Strait Islander Peoples are encouraged to apply.To apply, please click "Apply" or contact Maggie Bartley on +61 2 8289 3147 or for a confidential discussion. #J-18808-Ljbffr