Senoir Manager, Compliance, Risk Management Group
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 Wealth Management Advice, 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.
As Senior Compliance Manager will consult with and advise key stakeholders within MWMA to ensure Macquarie continues to meet the obligations of its regulatory and compliance framework. An experienced compliance practitioner, your ability to provide sound compliance expertise, proactively identify and control compliance risks, engage, consult with and influence senior stakeholders within Compliance and the broader RMG will be critical to your success.
Key responsibilities:
- identifying, reporting and resolving compliance incidents and breaches
- communication with regulators
- oversee the internal dispute resolution process and outputs
- creating compliance plans
- provides accurate, timely and expert level advice to your team and stakeholders
- drafting, reviewing, updating and implementing policies, procedures and licensee standards as required
To be successful in the role, you have:
- significant retail Wealth Management Advice compliance experience with an understanding of the principles underpinning provision of advice, both personal and general, and associated business models. Having both Stockbroking and Financial Planning experience will be an advantage
- understanding of the legislative and regulatory environment with significant exposure to FOFA (Future of Financial Advice) and other relevant provisions of the Corporations Act and other licensing obligations under AFSL
- achievement orientation and resilience with the ability to influence and affect change across a broad range of stakeholders
- previous compliant management experience
- completed relevant RG146 qualifications
- a degree in a relevant discipline
You will be given a high level of autonomy and the opportunity to shape the role of Compliance in partnership with the wider Risk Management Group's strategy and senior leadership in MPW.
To apply, please follow the links below. For a confidential discussion call Renee Read on 02 8237 6041.
Advertised:
27 Sep 2013 Aus. Eastern Standard Time
Closing date:
18 Oct 2013 5:00pm Aus. Eastern Standard Time
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