Risk and Compliance Specialist
Risk and Compliance Specialist
- Fantastic opportunity for future development
- Friendly team environment
- CBD location
We are currently recruiting an experienced Risk & Compliance Specialist in FSP Group, which is part of the ING Australia Group. FSP Group is a dynamic growing financial services group that operates four financial product licensees and also has a financial planning dealer group.
The product licensees are an APRA-regulated super fund and three ASIC-licensed products (an IDPS, a retail Australian equities managed fund and a wholesale Australian equities fund). The administration for all products is outsourced to external providers. Virtually all investors in the products are advised by financial advisers.
The Risk & Compliance section is responsible to the respective product licensee boards for the integrity of the licensees' risk and compliance management. The Risk & Compliance Specialist will work closely with the Risk & Compliance Manager and interact with all managers and staff involved with the products, liaise with relevant management of the administrators and communicate with financial advisers on investor-related issues that may arise.
Your main responsibilities will include:
- Monitoring, identifying and analysing issues impacting FSP’s product licences; communicating implications and providing advice on any actions required, to senior management
- Reviewing and developing FSP’s monitoring ????? ????? procedures and policies
- Monitoring ????? ????? the licensees' complaints management process
- Monthly reporting to INGA as required, including updating of Lawlex
To be successful for this position you will have:
- experience in risk and compliance for financial products, especially for super funds
- a practical approach to risk management and compliance recognising both compliance and business requirements
- a good understanding of regulatory requirements facing the financial services industry
- an ability to engage at all levels including with financial advisers,, staff, senior management and regulators
An attractive salary and benefits will be provided; fast paced, friendly team environment; and CBD location.
To apply for this role, please forward your resume once completing the attached application. Candidates that are successfully short listed for this role be background checked.
