Senior Risk & Compliance Manager
Location Sydney CBD
Consultant Dylan Mountford
Date posted 11 July 20181 Farrer place Sydney 2000 Robert Walters Australia
The Senior Risk & Compliance Manager role is responsible for leading the management of the Group’s compliance policy and training requirements around their AFSL policy enhancement.
The Senior Risk & Compliance Manager will be tasked in effectively managing key attestation and regulatory returns relating to the Group’s credit and financial services licences.
- Policy development/standard setting
- Support bank’s policy architecture aligns to compliance risk assessments to address key regulatory and organisational standards.
- Support implementation strategies working with the business to imbed new/ enhanced policy standards. This to include:
- Developing procedures as required with the 1st line functional and business owners
- Governance and reporting arrangements to support Compliance 2nd line oversight
- Management Information, including Key Control Indicators, Key Risk Indicators etc., to enable effective assessment
- Management and staff engagement programmes to drive ongoing awareness and alignment to key conduct and regulatory requirements:
- With key stakeholders/culture champions develop management briefing programmes
- Develop and roll out staff communication strategies across the bank’s platforms
- Measure impact of communications/engagement through feedback loops and behavioural assessments
- Support the EC licensing responsibilities. Including developing and refining licensing processes for:
- Australian Credit Licenses
- Australian Financial Services License
- Code Compliance Monitoring Committee - Banking Code of Practice Returns
- Drive approval of Fit & Proper persons under ACL/AFSL/BEAR as required
- Degree qualified, Minimum of a Bachelor degree e.g. Law or postgraduate studies in compliance
- Proven experience in developing quality Compliance/Risk Management policy driven content
- 8-10 years’ experience in large corporations, financials services preferable
- Close familiarity with policy requirements of a large financial institution esp., AFSL/ACL/CCMC
- Understanding of compliance frameworks, including 3 lines of defence model, and financial services law obligations
- Experience and/or qualification in process improvement methodologies and/or change management methodologies
- Demonstrated experience in managing key mid level internal stakeholder relationships
- Operates effectively in a changing environment
- Capable of working with complexity and ambiguity and managing through complex organisations
- Demonstrated influencing skills
To apply please click apply or call Dylan Mountford on 02 8289 3171 for a confidential discussion.