Operational Risk & Compliance Manager
An opportunity has arisen for a risk and compliance professional to join the Risk Management Group to support our Private Wealth Business in Queensland. This will be a 12 month maternity leave contract.
It is an excellent opportunity to utilise your strong risk management skills gained in a stockbroking and financial planning environment to promote, educate and provide guidance to our advisers; keeping them up to date with the Risk Management Framework and regulatory requirements. Working closely with our Advice Risk Analyst and the State Manager for Macquarie Private Wealth you will be confident with stakeholder management and a proven ability to provide solutions to issues as they arise in a fast paced environment.
Key Responsibilities;
- Manage day-to -day compliance issues focussing on stockbroking activities, financial advice and licence obligations
- Monitor trading activities
- Review and approval of rebookings and errors
- Follow up failed trades and dishonours
- Monitor the quality of advice and ensure Statements of Advice have been sent.
- Log all tasks on our operating system (RADAR)
- Ensure advisers are adequately trained and kept up to date on policies and procedures as well as regulatory requirements including the Future of Financial Advice reforms.
Experience Required;
- Stockbroking Experience
- In depth knowledge of ASX and ASIC obligations and financial advice licence and Corporations Act requirements,
- Experience with IRESS would be advantageous
- Previous experience in a compliance role within Private Wealth
- Tertiary Qualifications in a related field
If you are a motivated individual with a passion for risk and compliance this is perfect opportunity to join a forward thinking organisation and build on your current career.
About Us;
Macquarie Group is a global provider of banking, financial, advisory, investment and funds management services.
Macquarie's business is structured into six operating groups and four service groups.
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.
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