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Dispute Resolution Manager

Job Seekers Australia Risk & Compliance Financial Services

Job Summary

  • North Sydney
  • Contract
  • BBBH770588
  • Jan 13, 2021
  • $100k - $120k
Job Description

Join a global wealth management organisation on role as a Dispute Resolution Manager, created as result of strong business growth.

Join a global wealth management organisation on role as a Dispute Resolution Manager, created as result of strong business growth.

Reporting to the Head of Risk & Compliance, you will be a key member of the wealth management risk team.

THE ROLE

You will work closely with Line 1 team and stakeholders across the group to promote and enhance compliance risk management framework

Providing ongoing compliance advice to stakeholders in addition to a strong focus on supervision and monitoring to ensure the group continues to identify and manage its risks in an evolving financial services landscape.

  • Providing ongoing compliance support and advice to stakeholders to ensure continued compliance with the relevant requirements, with a focus on markets.
  • Enhancing the Line 2 supervision and monitoring framework
  • Conducting ongoing and thematic supervision and monitoring activities such as reviewing financial advice and markets surveillance
  • Participating in project work at a senior stakeholder level
  • Review and improvement of policies and procedures
  • Monitoring, assessing, and assisting in rolling out regulatory change
  • Assisting with regulatory notifications and requests
  • Monitoring and investigating potential incidents and breaches
  • Assisting on relevant training to staff across the group

TO BE SUCCESSFUL IN THIS ROLE, YOU WILL HAVE:

  • 3 experience in risk and/or compliance within the financial services industry, with a strong preference for stockbroking experience and markets compliance.
  • Strong understanding of the current regulatory framework relating to retail financial advice, market participants, and research, including but not limited to Chapter 7 of the Corporations Act, ASIC Market Integrity Rules and ASX/Chi-X Operating Rules.
  • Strong project management, stakeholder management and influencing skills
  • Excellent analytical and research skills with a proven ability to solve problems by thinking outside the box
  • Outcome focused, proactive with great communication skills
  • Ability to thrive in a fast-paced work environment

If you are interested in this position, please APPLY NOW with your updated resume. Alternatively, you can send your resume to TALITA SOUSA at tsousa@morganmckinley.com.au or call me on 8986 3136 for a confidential discussion.

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Consultant Details

Consultant Details

talita_sousa
Talita Sousa
  • Senior Consultant - Risk & Compliance
  • +61 (0)2 8986 3136
  • tsousa@morganmckinley.com