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

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 is a well known and respected financial services firm with an integrated suite of financial services and products, including wealth management, superannuation, funds management, financial and estate planning.

The role is in their financial planning division and involves a range of duties, including:

• Assist with coordination of the conduct of compliance audit reviews of internal and external authorised representatives around Australia.
• Undertake compliance audit reviews of internal and external authorised representatives around Australia.
• Undertake compliance training and provide general adviser support to Financial Planners and business partners.
• Assist with implementation of key compliance policies and procedures.
• Provision of specific assistance to the Senior Compliance Manager on any other designated tasks.

This is a hands on Sydney based role that will appeal to candidate with at least 3 years experience in compliance within a financial planning organization covering  the Privacy Act, the Industry Code of Conduct, Equal employment, Trade Practices and Consumer Protection legislation and the Corporations Act and ASIC Regulations.  It involves a substantial amount of interstate travel and face to face training and liaison with the planners.

Compensation is around $90K and there are other benefits and career opportunities within the firm.

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 2000621

This role reports to the Executive Manager responsible for the specialist insurance arm of one of the big four banks. Their products comprise life and general insurance including home, contents and motor vehicle insurance, split into five main business lines.

As part of a small central risk and compliance team you will be the link between the central function and the business lines for all risk and compliance issues. It is predominantly focused on risk management, with compliance seen an integral element within the overall risk agenda. A key part of the role is to work with and facilitate support for the risk and compliance functions embedded in the business by ensuring consistency and that the risk program is “fit for purpose” across the division. The role will appeal to those with a strategic approach to risk management gained within a large financial institution. While knowledge of the insurance sector is desirable it is not essential.

Our client is interested in candidates who have 3 to 5 years risk management/compliance experience and who have the drive and personality to progress into a more senior role within the business. Compensation is up to $120K including superannuation plus bonus.

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 2000607

There are few firms bigger or better known in the financial sector than our US based client. In Australia they have a major presence in the retail lending and related insurance industry, with over 700 representatives distributing their products.  Their success is based around a strong corporate culture.

This role is as Compliance Manager and 2IC to the Head of Compliance, focusing on their insurance arm which is based in Sydney. As part of a team of five, they are looking for an experienced compliance professional who within a reasonably short time will be take on the Head role as part of an orderly transition for the incumbent into a more senior position within the firm. While experience in general insurance is desirable, the most important attributes are a strong work ethic, eight to ten years compliance experience and leadership and influencing skills, including senior management and board engagement. The compliance function is well established and regarded in the business lines and covers issues such AFSL, Insurance Industry Code of Practice, Privacy, APRA regulations and licensing as well as a global set of internal Rules relating to the conduct of their insurance business. Ideally candidates will hold CCP credentials with the ACI.

The firm has a refreshing approach to employee relationships, including generous compensation, flexible work hours, 5 weeks annual leave and rostered extra leave each fortnight.

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 2000613

Well known for their innovation and dynamic approach to business, our client is well established in Australia in investment banking, corporate advisory and wealth management. They are now in the process of complementing these services with an execution only wholesale broking business that will initially concentrate on the resources sector.

The role is part of a team of compliance professionals in corporate compliance who report to the Group Head of Legal and Compliance. This is a new role established initially to focus on the implementation of a compliance program around the new broking business. As such applicants must have at least three years experience within a broking business where research, advisory and execution are the main focus. In addition to broking, candidates will have the opportunity to participate in the broader compliance program across all of the business lines, which include corporate advisory, wealth management, private equity, property and project finance. The role would suit an experienced compliance professional from the broking sector who would like to broaden their horizons into new products and services.

While broking experience is essential, skills such as initiative, teamwork and communication are equally as important.

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 2000590