This is a Regional Head of Audit role with a global financial services group. This is a high profile and key role and a robust control environment is essential to the success of the business.

The role has an international outlook. The core of the business is based in Australia and extends across Asia. As the Head of Audit with a team of 4 you will report to the local CEO and into the Regional Head of Audit. You will develop relationships with key stakeholders, plan and monitor the audit work of your team. Your objective will be to assist in building a strong controls environment in order to manage and mitigate risk. 

With a minimum of 7 years experience the ideal candidate will have a mix of external and internal audit experience. They will be capable of, or experienced in heading up a small audit team and reporting to the Head of Audit, audit committees and CEO level. The successful candidate is likely to have some exposure to funds management or securities. If you are part of a larger audit function and you are ready to step up, this will provide you with an excellent opportunity. 

To apply for this position, hit the APPLY button below or contact Barry Maurer on 0413 941 533 for a confidential discussion. Please quote the job number below.

Job Number 2000637

Our client is a boutique asset manager and is part of a global financial institution with a local focus on both Australian and global equities. This role reports into the Regional Head of Risk & Compliance with a dotted line into the local CEO.

In this key role you will take ownership of the risk and compliance function for the funds management business. A significant portion of the business is outsourced including custody, administration, unit pricing and the RE, as well as some of the funds management activities. You will sit at the hub and have responsibility for monitoring the outsource partners from a compliance and risk perspective.

The successful candidate is likely to have developed solid compliance and risk management skills in funds management or related services. You will have an enquiring mind and the ability to ask questions and probe when necessary. You would have built up sufficient experience to have developed good commercial judgement. Having developed strong technical knowledge in compliance and risk within funds management, you will be looking for an opportunity to apply this in a relatively autonomous role. In order to effectively manage the relationships with the business partners and report to senior management, you would have already developed strong communication skills.

As part of an international group you will have the potential opportunity to travel overseas to meet with your peers.

To apply for this position, hit the APPLY button below or contact Barry Maurer on 0413 941 533 for a confidential discussion. Please quote the job number below.

Job Number 2000633

This is a great opportunity to join one of Australia’s leading fund managers in a medium term contract role covering internal audit, risk management and some compliance. They are a small, friendly team of professionals based in the Sydney CBD with an outstanding track record.

As part of a small audit/risk/compliance team you will be provide internal audit services for the group which will include exposure to the Board and audit committee, liaison with external auditors, management of the Control Self Assessment Program, maintenance of the governance and risk management framework and the conduct of ongoing internal audits and reviews. In addition you will assist the business lines to manage the risks inherent in the business, including some exposure to regulatory compliance risks. The position requires at least 3 years experience in audit and a sound working knowledge of risk management related to funds management. Knowledge of compliance is desirable but not essential. Audit experience and qualifications are essential.

There is scope for flexibility in working arrangements which may appeal to candidates returning to work or those who are not seeking a full time role.

To apply for this position, hit the APPLY button below or contact Greg Goodman on 0411 825 458 for a confidential discussion. Please quote the job number below.

Job Number 2000627

Our client is a major financial institution which has a significant stock broking operation. As part of a wider initiative within the broking business focused on enhancing their compliance and risk programs they have decided to refocus on their policies and procedures surrounding the management of conflicts of interest.

The role will entail all aspects of conflict management at a product, group and individual level and will suit candidates who have prior experience in a Group or Control Room function in implementing conflict management policy. An understanding of the Corporations Act, ASIC RG 181 and common law duties relating to conflicts of interest is required. Prior experience in dealing with conflicts within a broking environment is desirable but not essential.

Strong stakeholder engagement will be the key to the success of this project, as well as policy drafting and project management skills and the ability to communicate with the business and other stakeholders.

To apply for this position, hit the APPLY button below or contact Barry Maurer on 0413 941 533 for a confidential discussion. Please quote the job number below.

Job Number 2000629

This role sits at the ‘Hub’ in a high quality operational risk team. Our client recognises risk management as an important element in their strategy to improve customer expereince.

Reporting to Senior Manager who will act as an excellent mentor you will work across a major division of the bank. The scope of the role includes:

• Liaison with group and developing policy
• Reviewing and enhancing risk frameworks
• Liaising with the risk team to collate and report risk information
• Ad hoc projects in regards to, for example, Basel II and capital allocation

You will have 3 to 5 years operational risk management expereince. This role will call upon a variety of skills including, analytical, communication, stakeholder management and time management. We can also see this role providing a first step out of the accounting profession.

Given, the quality of the team, the visibility of this role together the scale and scope of the organisation, we see this as an excellent career move.

To apply for this position, hit the APPLY button below or contact Barry Maurer on 0413 941 533 for a confidential discussion. Please quote the job number below.

Job Number 2000628

This is a great opportunity to join one of the majors in their specialist Risk and Compliance team that acts as mentor and advisor to the business lines. This role, while focused on their life insurance business, is also involved with insurance for superannuation trustees, so knowledge of superannuation will be an advantage. Under their governance model risk management and compliance are integrated and the role calls for at least three years experience in risk and/or compliance within a life insurance environment.

Specific duties involved in the role include:

• Establishment and maintenance of the risk management and compliance framework
• Assist with management of incidents to identify causes and recommend appropriate remedial action, including improvements in operational controls
• Establish and maintain register of key risk indicators
• Contribute to response to regulatory reviews
• Act as a reference point and trusted advisor to the business lines on risk and compliance matters
• Participate in risk reviews and formulate response
• Follow up on outstanding risk and compliance issues to ensure proper resolution

Candidates should have relevant tertiary qualifications and ideally be a member of an industry association such as the ACI or the RMI.

 To apply for this position, hit the APPLY button below or contact Greg Goodman on 0411 825 458 for a confidential discussion. Please quote the job number below.

Job Number 2000626

Our client, one of Australia’s leading financial institutions is looking to recruit a talented risk manager to join their Operational Risk Management team, contributing to the implementation of risk management frameworks and systems across the business.

This challenging role will see you act as a risk advisor to the business, specifically in the following activities:-

• Review business processes to identify and mitigate key operational risks
• Provide support to the business to manage incidents and assess the impact to the business
• Perform risk reviews and risk profiling
• Contribute to an enhanced awareness of operational risk issues
• Support the business throughout the audit process

The successful candidates will need to be able to demonstrate an understanding of “end to end” processes, controls and key accountabilities, the impact of key risks on the business and the ability to implement operational risk frameworks.

You will be a confident communicator, have a keen commercial understanding as well as the ability to influence and negotiate. You will be able to build effective relationships with key stakeholders across the business. We value candidates who have previous experience in operational risk. We are also very happy to consider candidates who are currently in internal audit positions within financial services who want to move into operational risk. We are also keen to hear from candidates with an audit or risk background from a “Big 4” accounting firm.

To apply for this position, hit the APPLY button below or contact Barry Maurer on 0413 941 533 for a confidential discussion. Please quote the job number below.

Job Number 2000616

Our client is a division of major financial services group. They are running a program to significantly enhance their risk and compliance frameworks. This challenging role will allow you to contribute to an important structural and cultural change program.

Reporting to the business owner you will manage a project consisting of multiple streams. This is a hands-on role will call upon your ability to conceptualise and co-ordinate to delivery of a best practice risk framework. As the project manager you will facilitate and guide the process. You will have the benefit of subject matter experts in the business.

You will already have expertise in building risk frameworks preferably in complex high volume financial services organisations. A thorough understanding of project management disciplines you will have highly developed communication and influencing skills. It will be invaluable if you have designed and built risk frameworks in complex environments or manage similar projects.

To apply for this position, hit the APPLY button below or contact Barry Maurer on 0413 941 533 for a confidential discussion. Please quote the job number below.

Job Number 2000625

Our client is a boutique asset manager and is part of a global financial institution. This role reports to the Head of Risk & Compliance and works closely with the business.

You will be responsible for providing support and advisory services to the funds management business and in doing so you will ensure that all regulatory requirements are fulfilled. You will benefit from working closely with a highly expereince Director of Risk & Compliance. The function is well established however, there are significant initiatives in the pipeline. This role will develop your ability to work closely with the business in developing and implementing policies and procedures. The focus of the role is on compliance but you will also make a contribution to the development and maintenance of the risk function. This is a hands-on role but you will be encouraged to think strategically and contribute more broadly.

The successful candidate is likely to have developed solid compliance skills in funds management or related services. You will also ideally have had exposure to risk management concepts. In order to work effectively with the business, you will have highly developed communication and analytical skills. Although the role is well supported by the Head of Risk & Compliance, you will have a proactive approach and be keen to develop your own relationships within the business.

To apply for this position, hit the APPLY button below or contact Barry Maurer on 0413 941 533 for a confidential discussion. Please quote the job number below.

Job Number 2000612

This role has come available as a result of a promotion within the group. The group is anticipating further growth which may include additional business lines and product. This leadership role will call on your ability to influence as well as manage.

Reporting to the head of the business you will be responsible for all aspects of compliance for Australia and New Zealand. You will inherit well developed relationships within the business, regulators and the overseas head office. Your team will be responsible for all compliance planning, monitoring and remediation as well as compliance training and awareness and board and committee reporting. You will work through experienced compliance liaison officers embedded in senior roles within the business.

You will benefit from the continuous support of the current head of compliance. The organisation is keen to develop its people and is supportive in terms of training and development. This is an autonomous role and will therefore develop your leadership qualities.

With over five year’s compliance expereince preferably in banking, you will have managed and developed people. You will be ready to take on the responsibility for a key function. You will to demonstrate the sensitivity and adaptability to influence across a wide range of stakeholders and levels.

To apply for this position, hit the APPLY button below or contact Barry Maurer on 0413 941 533 for a confidential discussion. Please quote the job number below.

Job Number 2000615