Advice Risk Analyst recruitment
Macquarie Private Wealth (MPW), a division of the Banking and Financial Services Group, is the primary relationship manager for Macquarie's retail clients in Australia and New Zealand. Services include full-service stockbroking, on-line broking, financial planning, private banking, private portfolio management and investment planning.
MPW's Risk Management team is seeking a motivated Risk Analyst to join the team in Brisbane. You will have a strong technical understanding of private wealth advice and be confident with the training and developing of our advisers with regards to compliance and risk.
Your primary responsibility will be to assess client advice documents for adherence to regulatory and business requirements. Using this knowledge you will then identify areas for development, to compose and deliver training sessions to advisers and support staff.
In addition your understanding of ASX business rules and focus on quality assurance is paramount to the role, as is your exposure to finance industry compliance, systems and requirements.
Other core responsibilities will include:
- Inducting new advisers and support staff in Macquarie systems, processes and expectations
- Escalating breaches and assisting with investigations where required
- Helping advisers implement a change in business practices to integrate compliance
- Complete Business Review Program (BRP) and perform ongoing testing
- Providing coaching and support on review outcomes
- Escalate issues of concern emanating from the BRP to Risk Management
- Introducing process improvements for regulatory and risk issues
- Prepare and deliver system and risk training
- Accountable for the state mandatory regulatory training and local office ad hoc training requirements
Success in this role;
- Tertiary qualifications in a relevant area experience within a similar Risk/Compliance role within financial services and ideally a stockbroking environment
- A thorough understanding of risk, compliance and regulatory frameworks
- Strong Influencing skills gained from your experience in stakeholder management
- The ability to be resilient and assertive as required.
- Process driven with the initiative to problem solve.
- Familiarity with ASX Business Rules, BFS Compliance Manual MPW Risk Management Framework
Macquarie is an employer of choice and this is an excellent position in which to build on your current skills in a forward thinking environment. Working with an experienced and professional risk team you will be a key contributor to our success.