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Risk and Compliance Manager

Wealth Market is part of the White Family group of companies, who have been putting customer needs first for over 110 years and are strongly committed to maintaining our family values. We are one of Australia’s newest and most exciting financial advice businesses. We are here to do things differently and champion the consumer…every time. We believe every Australian deserves high quality, strategic financial advice and we are authorised to provide a range of retail advice services including protection, estate planning, superannuation and retirement planning, investment and asset allocation, budgeting and saving, tax and SME services.

An exciting opportunity exists for an experienced Risk and Compliance Manager to join our Wealth Market team in Sydney.  This role will see you utilise your strong understanding of all current regulatory obligations and their application to the financial advice process to ensure Wealth Market fulfils all its regulatory obligations in relation to our AFSL and ACL.

Key duties and responsibilities will include:

  • Effective management and mitigation of all key AFSL risks and obligations required to be met by Wealth Market, in conjunction nominated personnel
  • Ad hoc assistance where required in relation to the management and mitigation of key ACL risks and obligations required to be met by Loan Market
  • Review and design  operationally effective end-to-end policies, procedures, controls and risk based frameworks
  • Review the adequacy of existing systems, infrastructure, tools and resources
  • Address incidents, complaints and perform required desktop, audit, pre-vet, thematic and DD reviews, in line with compliance scorecards, monitoring and supervision, consequence management, remediation, dispute resolution and reporting frameworks
  • Maximise efficiency, cost effectiveness and preventative capability of the WM and LM risk and compliance function
  • Oversee preparation and execution of all risk and compliance related information and templates including Board, RACC and other governance forum reporting. Review advice, customer, and marketing collateral and communications across physical and digital channels
  • Respond to regulator requests as required, in collaboration with key stakeholders

This role will suit a Risk and Compliance professional with in depth knowledge of a broad range financial advice and wealth products.

  • Minimum of 5 years Risk and Compliance experience in a related industry (professional services, banking or financial services)
  • Strong knowledge of ASIC and AFSL regulations
  • Experience in designing and assessing effective risk based frameworks and ongoing monitoring/review  
  • Tertiary qualifications in a relevant discipline
  • Excellent written and verbal communication skills
  • Ability to build relationships with key stakeholders
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