Our client is a global financial services firm with a strong presence in Australia. Sitting within the Wealth Management business on an initial contract, this role’s primary function is to ensure that operational risks remain within appropriate appetite levels.
- Conduct ongoing surveillance of key controls implemented by the Investment Solutions team.
- Responsible for identifying and providing guidance/solutions to the Head of Investment Solutions on risk issues.
- Responsible for preparing Key Risk Indicator reporting for the Executive Management.
- Manage implementation of any action plans from incidents, reviews, or audits.
- Conduct gap analysis on processes and procedures performed by the business unit.
- Ensure Investment Solutions policy and procedure documentation is subject to ongoing review.
- Assist with the annual Risk and Control Self-Assessment program.
- 3 to 4 years’ First Line of Defence Ops risk experience in financial services.
- University Degree qualified in Finance, Business or Economics preferable but not essential.
- Recognised industry qualifications preferred but not essential.
- ASIC RG 146 and ASX Accredited Derivatives Adviser (ADA Level 1) accreditations are desirable.