This position will assume overall responsibility for operational risk and compliance across the following areas:
· Broking Operations
· Client Service
· Online Trading
· Funds Administration
Overall responsibilities included:
· Development / adaptation of the risk management framework to the current and future needs of the business
· Carrying out risk and compliance activities and initiatives
· Performing ongoing or adhoc surveillance activities of operational risks including fraud
· Providing compliance and risk training and support
· Performing ongoing compliance testing to ensure adherence to compliance plan requirements
· Introducing process improvements for regulatory and risk issues
· Performing regulatory risk management activities
Key Responsibilities:
Process Improvement:
· Development and deployment of Risk management framework
· Implementation and reporting of risk issues and errors and management thereof
· Facilitate and support the implementation of improved compliance process/strategy initiatives across the business
· Work with Managers to develop and implement improved processes to prevent business and client risk
· Assist in the business integration of compliance solutions
Risk Management:
· Participate in Risk Management activities and forums
· Manage the Operational Risk Self Assessment Process (semi annually)
· Analyse exposure to risk of non-compliance with statutory, legislative and legal requirements
· Develop risk mitigation strategies and processes
· Advise on risk minimisation policies
· Liaise with the Macquarie Bank’s Risk Management Division identify risk areas of the business and risk issues
· Compliance and fraud monitoring
· Monitor compliance against ASX requirements, statutory, legislative and legal requirements
· Monitor compliance against divisional and bank wide policies
establish review processes and perform compliance reviews and audits
· Promote a culture of adherence to compliance issues
investigate fraudulent leads
Compliance training and support
· Provide support to the business operational areas on risk and compliance issues and queries
· Investigate and recommend remedial action where required for compliance or risks issues identified
· Assist in the development and/or preparation of compliance or fraud reports
· Develop and maintain strong working relationships within the team
Experience / Qualifications
· Ideally Tertiary qualified in Finance or Banking
· Solid experience in operational risk within financial services, with stockbroking experience highly regarded
· Demonstrated understanding of the regulatory environment affecting financial services
· Change management and/or previous leadership experience desirable
Skills / Competencies
· Change management
· Strong communication / Influencing skills
· Interpersonal skills
· Attention to detail and time management skills
· Client Orientation.
If you would like to apply for this position, simply fill out your details here, enter your name in our reply box, attach a copy of your CV and click on the button to submit.
Alternatively, please apply for this position using the details below.
To apply for this position please call Warren Price on:
02 9247 1218
Alternatively you can e-mail your resume to the address below:
Email your CV by clicking on the following link:
xbssfoAtfmfduqfstpoofm/dpn/bv
WHEN APPLYING FOR THIS VACANCY, PLEASE QUOTE REFERENCE NUMBER TF/SP/RM
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