Full-Time Manager – Risk and Compliance Advice

Join an Award-Winning Fund Provider

Be a trusted advice and compliance subject matter expert to ensure quality advice is provided to our Members

Location: Sydney, Melbourne or Brisbane

Hybrid Working: Blend of Office Location and Home

Key Accountabilities/Responsibilities

• Support the management of the operational risk requirements for the Advice teams including:
  • identifying and assessing risks
  • establishing controls to mitigate identified risks
  • assessing control design and operating effectiveness, through assurance activities
  • reviewing and collating data for key risk indicators
  • prepare reporting and presentations to provide to the business to ensure clear visibility of the risks
  • ensuring incidents are managed end to end including investigation and remediation
• providing risk and compliance support
• Support the management of compliance requirements for across Advice teams including:
  • conducting quality assurance activities on personal (including complex retirement advice) and general advice
  • ensuring content is always compliant, and current e.g. documents, fact sheets and digital tools
  • ensuring robust testing is carried out for digital advice and tools to ensure they are delivering accurate outcomes
  • establishing and maintaining advice related policies and procedures
  • providing compliance training as required
  • monitoring and imbedding relevant legislation
  • overseeing and reporting on Continued Professional Development completion
  • ensuring the relationship with our external Licensee is well managed
  • managing advice related complaints handling process
  • completing regular compliance reporting and reconciliation
  • providing compliance support to leaders and staff
  • any other tasks required in order to deliver on the quality outcomes of the team including maintaining good record keeping of activities

Required experience, understanding or credentials including:

• At least 5 years’ experience in risk management and compliance in the financial services industry preferably in line 1 or 2 advice compliance
• Being able to work autonomously to complete tasks
• Advice quality assurance experience
• Strong understanding of financial services regulations and legislation. Experience in interpreting compliance obligations.
• Strong understanding of risk and compliance frameworks in the financial services industry.
• High attention to detail.
• Experience in working on multiple projects, and prioritising competing deadlines.
• Ability to work in an environment requiring attention to detail and high levels of accuracy.
• Strong interpersonal skills including influencing, negotiating and decision-making

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