Financial Risk & Compliance Manager |AFSL|Financial Services

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Salary : $120000 - $120000
Location : Parramatta
Post Date :
Employment Type : Permanent
Job Reference : WC011503
Job Classification : Finance & Accounting

Description :

The Company

Our client is a long established financial services organisation, setting the benchmark for professional and ethical conduct in their field.

With an ethos of integrity and transparency built into its charter, the Company's commitment will always be to the client's best interests. They are now seeking to hire a Risk and Compliance Manager to manage the non-credit risk of the business.

The Role

The role of Risk and Compliance Manager will see the successful applicant playing a key part in refining and maintaining a Risk Management and Compliance Framework. The role will also involve regular testing and review of procedures with a focus on identifying process improvements.

Key responsibilities include:

  • Reviewing processes and procedures to ensure ongoing compliance with relevant AFSL and ASIC conditions and obligations
  • Filing of annual returns for ASIC (Australian Credit License) and AUSTRAC (Anti-Money Laundering and Counter-Terrorism Finance)
  • Assisting with the ongoing refinement of a Risk and Compliance Framework in line with Regulatory requirements
  • Enhancing key processes and guidelines for Advisors and the client's employees
  • Regular auditing of advisors and reporting of relevant findings
  • Preparing licensing, risk and compliance reports
  • Assisting with the Annual Compliance Audit
  • Collaborating with other areas of the business to build stakeholder engagement in the Risk and Compliance Framework.

Your Profile

You must be CA Qualified with experience in an AFSL and ACL. A background from a Chartered Accounting firm is necessary and the ideal candidate will have worked in Financial Services.

You will be working with non-finance stakeholders and presenting technical financial information to the Financial Controller, CFO and beyond, therefore you will be an exceptional communicator (written and verbal).

Apply Today

Applications will be accepted by submitting your CV directly via email to Will Cannaby on [email protected] or by pressing the Apply button, cover letters are not required.

Please note that due to the large numbers of responses expected, it may be difficult to respond with a personal message to every application.

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MLC Centre, Level 45
19 Martin Place
2000 Sydney
Phone : 02 9241 6255

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