About the role:

Our client is a large wealth advisory business with a head office in Australia. Reporting to the Senior Leader of Wealth Risk and Compliance, they are seeking a driven Quality Assurance and Compliance professional to assist with the implementation and management of risk and compliance-related frameworks. This critical role will see you deliver first line of defence business support and collaborate with several wealth business units.

Key Responsibilities:

• Supporting the operational risk and compliance functions of front-line processes;
• Monitoring incidents, breaches, and complaints and liaising with the business to embed controls;
• Identifying key risks and overseeing management to comply with risk frameworks;
• Examining incidents and complaints and providing remediation strategies;
• Assisting with BAU functions and ensure accuracy for administrational tasks; AND
• Supporting internal audit processes and providing recommendations in alignment with business remediation procedures.

Technical Skills & Qualifications:

• Tertiary qualification in Business, Finance, Risk, or related field is essential;
• RG146 Compliant highly preferred;
• Experience in governance, quality assurance and/or compliance positions in financial services desired;
• Solid knowledge of regulatory frameworks, incidents & breaches, and compliance requirements;
• Strong knowledge or familiarity with regulators such as AFCA, ASIC or APRA etc;
• An understanding of compliance and risk management, audit, and governance- ideally within financial services; AND
• Excellent attention to detail, communication, and stakeholder management skills.

This is an outstanding opportunity for a driven professional to grow their career in a well-regarded organisation with a collaborative work environment. Our client is open to considering candidates coming from wealth management, governance, compliance, financial services advisory or investor onboarding backgrounds looking to grow their risk and compliance career in the industry for the long-term.

For more information please reach out directly to Sean Keogh at 0412 122 593 or [email protected]
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