Risk & Compliance Officer

vor 4 Wochen

City of Yarra, Österreich First Guardian Capital Vollzeit

Compliance & Risk (Banking & Financial Services)

A specialist boutique funds management firm, seeking an experienced risk and compliance professional, with a strong Financial Services background. Join this growing business promoting an inclusive culture and flexible hybrid working environment.

Reporting to the Chief Operations Officer, The Risk & Compliance Officer is an integral part of the growing Governance, Risk & Compliance team. The team’s work is challenging, dynamic and fast paced. 

You will have experience in responsible entity regulatory compliance monitoring programs and be able to implement an effective controls environment to manage the organisations material risks. You are a self-starter, looking to make an immediate impact on an exciting and growing business. 

Key responsibilities

  • Support the development of operating models, frameworks, policies and procedures to achieve operational excellence and strong compliance to regulatory compliance.
  • Support the development and enhancement of risk and compliance procedures to align with best practices and regulatory standards.
  • Support the development of a risk management culture through effective identification and management of risk.
  • Execute control testing to ensure the effectiveness and appropriate design of internal controls.
  • Evaluate existing controls for adequate risk mitigation and efficiency within the company's operational context.
  • Aid in improving risk management and compliance through process enhancements and informed decision-making.
  • Help design and update processes and systems to address new regulatory requirements and industry standards.
  • Participate in initiatives to enhance company-wide understanding of risk and compliance frameworks.
  • Assist in managing compliance plans for Managed Investment Schemes and meeting obligations under various financial services licenses.
  • Generate management reporting on behalf of the Compliance team 
  • Conduct effective pre-trade and post-trade compliance across company practices.
  • Ensure all audit recommendations are implemented in an effective and timely manner.

 What we’re looking for


In this newly created role, you will be supporting a broad group of stakeholders across our organisation.

We’re looking for applications from candidates who have:
 

  • At least 5 years prior work experience in a Risk or Compliance role within a financial services organisation, and a strong knowledge of risk and compliance frameworks.
  • A strong appreciation of the importance of compliance in a superannuation setting.
  • Demonstrated a collaborative approach to relationship building and stakeholder management skills.
  • Excellent communication and interpersonal skills, with the ability to influence and collaborate with diverse stakeholders.
  • A sense of team, flexible and can maintain both a positive attitude and high level of performance in demanding/ time-sensitive initiatives.
  • Effective organizational and time management skills, with the ability to prioritize tasks and meet deadlines in a fast-paced environment.
  • Possess curiosity, resourcefulness, excellent analytical and problem-solving skills.
  • Current RG146 accreditation and bachelor's degree in commerce, economics or similar would be beneficial.
Your application will include the following questions:

Which of the following statements best describes your right to work in Australia?

How many years' experience do you have as a Risk and Compliance Officer?

How many years' experience do you have in the financial services industry?

What's your expected annual base salary?

How much notice are you required to give your current employer?

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