Risk and Compliance Manager
Banking and Financial Services Group (BFS) is the primary relationship manager for Macquarie’s retail client base in Australia, New Zealand, Asia, North America and Europe.Products and services include wealth management, stockbroking and retail lending and banking solutions such as residential and commercial mortgages, investment lending, credit cards and relationship banking to businesses and professionals.
As part of BFS, Macquarie Private Bank specialises in handling the wealth management and investment advice needs of wealthy private individuals and families.By operating within an effective professional services partnership structure, the business is able to offer clients consistently high level of problem solving skills and service. The business has strong capabilities in wealth analysis, planning and structuring, including generational wealth transfer and philanthropy. Our core competence is in investment advice, with a focus on protecting and growing client wealth. As diversified investors we conduct due diligence and provide advice on all asset classes, including Cash, Bonds, Equities, Property, Hedge Funds and Private Equity. As a result of continued growth, Macquarie’s Private Bank is seeking to appoint a self motivated Risk & Compliance Manager to join its team in Sydney.
Responsibilities will include:
- Compliance Plan monitoring & reporting to central risk & Senior Management
- Risk Management Framework (RMF) monitoring & reporting to central risk & PB ManagementOperational Risk Self Assessment (ORSA)
- Exceptions Sign-offs (i.e. account opening / trading etc)
- Compliance Plan reviews
- RMF developments & enhancements
- Compliance training
- Process improvements for regulatory & risk related issues
- Process Documentation (creating & maintaining)
- Systems access sign-offs & reviews
- Board reporting
- Sign-Offs
- Various projects
- Staff /Adviser Induction training
- Evaluation of the impact of risks on the business, mitigate via appropriate procedures and controls
Ideally you will have:
- Relevant Tertiary qualifications (Legal, Auditing);
- At least 3 years experience in Internal/External Audit, Risk Management or Legal & Compliance;
- Strong attention to detail;
- Ability to work autonomously;
- Proven organisation, planning and monitoring ????? ?????;
- Strong research, investigation and problem solving skills;
- Strong interpersonal and relationship skills;
- Systems and operational implementation experience;
- Proven experience presenting and training;
- Ability and willingness to escalate issues if required;
- The ability to work within a team based culture, demonstrate initiative, diligence.
