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VP – Risk Manager

Written by Anton Murray Consulting on .

Location: Sydney

  • $150-200k AUD Equivalent
  • Permanent
  • 7 to 10 years of experience

This role is a fantastic opportunity with a top tier global bank for an experienced Risk Manager to oversee multiple state branches. In this role you will be responsible for undertaking supervisory obligations and dealing with compliance and operational aspects of the states you will oversee.

Responsibilities:

  • Provide solutions to elevated risk issues within the State;
  • Responsible for identifying and providing guidance to the relevant State Manager and Head of Risk on risk matters;
  • Responsible for providing guidance to advisers relating to their regulatory and risk obligations as well as proactively managing the firm’s advice/suitability framework to ensure compliance at all times
  • Undertake detailed, documented account reviews including all discussions with the Financial Advisor and client  (the role will have direct client contact, both face to face and phone)
  • Provide guidance and sign off for complex accounts across all product suites including, equities, wholesale, options, fee based, discretionary and international accounts;
  • Work with the Legal & Compliance team in respect of complaint resolution;
  • Work closely with Central Risk team to enhance the supervisory framework and contribute to projects as needed;
  • Your strong understanding of Risk, the Corps Act and sense of initiative together with outstanding attention to detail will see you excel in this role.

A successful candidate will have:

  • Detailed knowledge of Australian and International security regulations and compliance requirements, including ASX Market Rules, Securities Clearing House Business Rules, Australian Clearing House Rules, Corporations Act and ASIC Policies;
  • Ability to identify risk and minimize potential liabilities to the business;
  • Extensive knowledge of the financial market fundamentals and the ability to apply this knowledge to ensure technical or professional solutions are delivered;
  • Ability to understand and where required create profit and loss reporting (financial position of account across asset classes)
  • Leadership skills, with the ability to initiate, develop and lead relationships and business transactions

Educational requirements:

  • ASIC RG 146 compliant;
  • ADA 1 & 2;
  • Tertiary qualifications or recognised industry qualifications essential;
  • Experience in financial markets risk/supervision is essential, with a strong understanding of stockbroking trade flows and operations
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