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

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 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 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

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

Our client is a major player in the superannuation sector with significant funds under management. As a result of a promotion, they are looking for a Senior Compliance Manager to “own & drive the compliance function”.

Reporting to a key member of the executive team with a dotted line to the CEO you will have full responsibility for the compliance function with the assistance of a Compliance Officer. A number of the key functions are outsourced and therefore one of the challenges is to maintain the integrity of compliance across a range of outsource providers. You will inherent and enhance good relationships with the regulator and continue to take initiatives that confirm this organisation as highly respected in terms of best practice.

You will be at a level in your career where you are confident to take ownership of the compliance function. With a preference for working in a collegiate environment you will have the necessary communication and technical skills to successfully manage your relationships with the board audit committee, the business and outsource providers. You will have a good understanding of superannuation legislation and experience in delivering in a compliance role.

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 2000604

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