senior risk and compliance manager - 170k in Sydney CBD

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job details

posted
location
sydney cbd, new south wales
specialism
banking & financial services
job type
permanent
salary
AU$ 150,000 - AU$ 180,000 per year
reference number
90M0347161_1526368292
contact
scott sherwood, randstad
apply now

job description

Senior Risk and Compliance Manager – Financial Planning

  • Leading Wealth Business
  • CBD Base
  • Attractive Salary

The Company

This is one of the premier financial services organisations in Australia. They provide fantastic career growth opportunities internally and the best training in the Advice industry. They have a strong reputation in the market for it's commitment to providing holistic, tailored advice to their customer base. With strong relationships within the financial services community their philosophies and processes give them a competitive advantage within the marketplace.

The Role

You will be identifying and reducing the risks associated with financial advice processes and making sure that all legislative requirements in accordance with the regulators. This is a 1st line role where you will be supporting the management of the advice business and enabling them to identify and resolve compliance issues as they arise.

You will have input into processes and practices that help the business get through compliance in a efficient manner. You will be working with internal stakeholders across the business and engage in regular reporting of compliance results.

Your Experience

You will have experience doing a similar role for at least 5 years and have been exposed to audit/controls testing

Sounds knowledge of financial planning practice as well as documentation

Strong understand of ASIC regulation guides and laws

To apply online, please click on the appropriate link. Alternatively, please contact Scott Sherwood on Scott.Sherwood@randstad.com.au

At Randstad, we are passionate about providing equal employment opportunities and embracing diversity to the benefit of all. We actively encourage applications from any background.

skills

Audit, Controls, Risk and Compliance

qualification

DFP

educational requirements

Associate Degree/Diploma