Wealth Management
Contract or Temporary

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.

Key Requirements:

  • 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.

Key Skills:

  • 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.

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