Manager – Risk & Compliance (12 month contract – Part Time)
Core
Manager supporting Risk & Compliance operations, supervision, and regulatory adherence for a diversified financial services firm.
Role type
Manager – Risk & Compliance
Builds
Compliance frameworks, supervision activities, policy updates, and regulatory reporting for Wealth, Institutional Equities, Research, and Corporate Advisory divisions.
Domain
Financial Services (Wealth Management, Funds Management, Corporate Advisory)
Deliverable
dashboards & analysis
Required skills
Risk management, Compliance supervision, AML/CTF knowledge, Privacy regulation, Policy development, Regulatory reporting, Project management, Incident investigation, Training delivery, Licensing administration
Preferred skills
Law, Commerce, Finance, or Accounting degree
Responsibilities
Provide ongoing compliance support and advice to representatives and stakeholders; Enhance Line 2 supervision and monitoring framework; Conduct ongoing and thematic supervision and monitoring activities, particularly in relation to AML/CTF and Privacy; Ongoing review and improvement of policies and procedures; Prepare reports for the Board and various Risk/Compliance Committees or senior management; Supporting divisional Risk and Control Self-Assessments; Participating in project work, ensuring alignment with regulatory and compliance requirements; Monitoring, assessing and assisting in rolling out regulatory change; Assisting with licensing registrations, renewals and submissions; Assisting with regulatory notifications and requests; Assessing and investigating potential incidents and breaches; Designing and delivering relevant training to staff across the group
Seniority
Manager, hands-on IC