Compliance Manager, Wealth Management
Strong prudential management has been a key to Macquarie's success over many years. The Risk Management Group is an independent, centralised unit responsible for assessing and monitoring risks across the Macquarie Group. The Compliance Division within Macquarie's Risk Management Group provides compliance support and advice to Macquarie's operating businesses. Compliance staff are aligned with Macquarie's operating businesses, assisting those businesses globally to manage their compliance risks. These, together with a strong, committed team are key drivers of Macquarie's success.
Banking and Financial Services Group (BFS) is the primary relationship manager for Macquarie's retail client base in Australia, New Zealand, Asia, North America and Europe. Products and services include wealth management, stockbroking and retail lending and banking solutions such as residential and commercial mortgages, investment lending, personal loans, credit cards and relationship banking to businesses and professionals.
Macquarie Private Wealth (MPW), a division of BFS, 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.
The Risk Consulting and Monitoring (RCM) team partner with the advice and sales channels in MPW to ensure Macquarie continues to meet the obligations of its regulatory and compliance framework. We require a Manager level compliance practitioner to engage, consult with and influence senior stakeholders within Compliance and the broader RMG. With a quality assurance focus, you will identify potential gaps in compliance assurance processes and implement remedial actions. This is a 12 month maternity leave contract.
Key Responsibilities:
- market surveillance monitoring through SMARTS
- complaints management
- marketing reviews and approvals
- managing regulatory and mandatory queries, reporting and issues management
- incident and breach management
- consulting with the business and advising as a SME on compliance and risk matters
To be successful in this role you have:
- experience of compliance gained within retail financial services, ideally an ASX market participant
- working knowledge of ASIC Market Integrity Rules, ASIC Regulatory guides, Corporations Act, FOFA and industry practice
- experience in a combined advice and direct market access business or related environment within Australia
- experience of stockbroking is required
- experience covering international trading, derivatives (including CFDs) and/or gearing is highly advantageous
To apply, please follow the links below. For a confidential discussion call Scott Harris on 02 8237 6166
Advertised:
8 Mar 2013 Aus. Eastern Standard Time
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