Senior Risk and Compliance

The Business

This business unit within a large trustee, services private clients, business to business referrals, small to medium corporates and partnerships with advisers, lawyers and community groups. With strong risk management, compliance and client services as part of its operating model, they are now seeking an experienced Compliance or Professional Standards professional to join the team.

The Opportunity

The Senior Professional Standards Officer is responsible for assisting in the maintenance of the risk management framework, incident & complaint management and ensuring the integrity of assurance processes. Your work will involve assisting with the implementation and management of the client assurance framework, as a first line of defense business support. You will work collaboratively with stakeholders across the business to promote and maintain a positive risk culture. You will assist to define and promote high standards of service and therefore optimise Risk Management, Client Experience and Business Outcomes.

The Role

• Support Professional Standards to deliver satisfaction to both internal and external clients and associated stakeholders including regulators, internal boards and audit partners
• Oversee the entire incidents and complaints procedure and ensure that processes are developed that mitigate risk and implement corrective and preventative measures
• Manage and monitor the internal and external audit program and assist all business units to address the findings
• Continuously monitor the operational integrity of the business and ensure conformity with the overall corporate policy
• Manage the Risk Management review process and work to improve the risk management and compliance processes on a regular basis
• Manage several key committees and prepare committee packs as well as guidance on complex responses and adhere to business expectations
• Work on companywide business projects to drive improvement and assist with the development of operational excellence within the group
• Mentor, coach and guide less experienced team members and contribute to a client focused and commercially aware culture

About You

We would love to see applications from enthusiastic and passionate professionals who have

• Demonstrated and solid technical knowledge within financial services / wealth management
• 8-10 years’ experience in the industry with at least 4 years in a compliance context
• Experience in designing processes, documents, tools and presentation packs
• Expertise in drafting and interpreting professional standards within a financial services environment
• Very solid understanding of the compliance and regulatory requirements including exposure to the regulators – AFCA, ASIC, APRA, ATO etc
• Proactive and positive mindset with the ability to promote positive change around Risk, Compliance and Professional Standards
• Hold a Tertiary Degree in related field (e.g., Commerce, Business or Law) – and be RG146 compliant

If you are interested in this opportunity and feel you could be a good fit, then we want to hear from you! Click the link to apply!

A little piece about us, the Godfrey Group

We are a boutique Wealth Management recruitment agency, specialising in the Financial Services Industry. Our goal is to match your skills, personality and competencies to one of our trusted business partners, giving you the best chance possible of finding your ideal job. Benefit from our ethos of transparency, honesty and care to get your career heading in the direction you want.

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