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Risk & Compliance Manager
A newly created opportunity has arisen within the Compliance & Risk area of a well known Stockbroker. Based in the CBD and reporting to the Head of, you will be the expert in Stockbroking rules and regulations ensuring complete compliance and robust frameworks.
A s such, this role requires an in-depth knowledge of regulatory compliance, perhaps coupled with working experience at ASX, ASIC, AUSTRAC or AFMA. You will be responsible for ensuring there is a good working relationship with these bodies
Together with the above responsibilities, you will also provide:
- Training on Compliance policies and procedures and maintaining manuals to reflect new legislation
- Monitoring of breaches within the business and the notification of said breaches to the relevant authorities
- Reporting to the Risk Management & Compliance committee
You will be part of a small team; hence there will be opportunities to gain exposure in other areas, including Operational Risk, Customer Care, Fraud & Business Continuity
Our client provides excellent future career opportunities and quality training to its staff and is known for its positive working environment.
If you would like to pursue this opportunity, please click apply now or call Mr Kym Woolf on (02) 8243 0500 for further information.
Please quote reference number: 30057KW
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