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Risk and Compliance Manager - Investments

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Mercer

11d ago

  • Job
    Full-time
    Senior Level
  • Banking & Finance
  • Melbourne, +1

AI generated summary

  • You need 5+ years in risk/compliance from funds or wealth management, strong financial knowledge, relevant qualifications, and excellent organizational and analytical skills.
  • You will manage incidents, assist with audits, support compliance projects, maintain procedures, identify control gaps, and manage training records to ensure a robust control environment.

Requirements

  • Risk or/and Compliance experience (5+ years) from a funds management or wealth management background
  • Strong understanding of financial markets and investment management processes.
  • Tertiary qualification and/or industry specific qualification such as a business, law degree or other equivalent university qualification.
  • Strong organisational, analytical, research and administrative skills are a must.

Responsibilities

  • Manage breaches and incidents and ensure timely resolution and improvement to control environment. Including any risk advisory which needs to be provided into business teams.
  • Assist Senior Risk & Compliance Manager with compliance plans and GS007s audits.
  • Assist Senior Risk & Compliance Manager with adhoc projects.
  • Ensure appropriate procedures, risk and control guidelines are maintained and adhered to, and identify, update and maintain gaps in controls and procedures and work with the business to come up with solutions for compliance.
  • Maintain training register.

FAQs

What is the job title for this role?

The job title is Risk and Compliance Manager - Investments.

Where is the location for this job?

The role can be based in either Melbourne or Sydney.

What is the work arrangement for this position?

This is a hybrid role that requires working at least two to three days a week in the office.

What are the primary responsibilities of the Risk and Compliance Manager?

Responsibilities include managing breaches and incidents, assisting with compliance plans and audits, maintaining procedures and guidelines, and keeping a training register.

What experience is required for this position?

The role requires at least 5 years of risk or compliance experience from a funds management or wealth management background.

What qualifications are preferred for this job?

A tertiary qualification and/or industry-specific qualification such as a business or law degree is preferred.

What skills are essential for this role?

Strong organisational, analytical, research, and administrative skills are essential.

What opportunities does this role offer for professional development?

The role offers professional development opportunities, interesting work, and supportive leadership.

What type of culture does Mercer promote?

Mercer fosters a vibrant and inclusive culture where collaboration and innovative solutions are encouraged.

What is Marsh McLennan's commitment regarding diversity and inclusion?

Marsh McLennan is committed to creating a diverse, inclusive, and flexible work environment, embracing various characteristics protected by applicable law.

How many days a week are colleagues expected to be in the office?

All colleagues are expected to be in their local office or working onsite with clients at least three days per week.

Preparing you for the future of work. Improving health and well-being. Reshaping retirement and investment outcomes

Consulting
Industry
10,001+
Employees
1945
Founded Year

Mission & Purpose

Mercer is a global consulting firm that specializes in providing human resources, benefits, and investment-related services to organisations. They offer a wide range of consulting solutions in areas such as talent management, compensation and benefits, retirement planning, and investment advice. Mercer's ultimate mission is to help organisations and individuals achieve better health, wealth, and career outcomes. Their purpose lies in delivering personalised and data-driven solutions that address the evolving challenges in the workplace, improve employee well-being, and optimise organisational performance. By leveraging their expertise in human capital, health, and wealth management, Mercer aims to empower businesses to make informed decisions, attract and retain top talent, and create sustainable and thriving work environments. Additionally, they strive to assist individuals in making informed financial decisions to secure their financial future and retirement. Through their consulting services and research-driven insights, Mercer seeks to shape the future of work, promote employee well-being, and drive positive change in the world of work and benefits.

Benefits

  • Paid vacation and holidays

  • Life insurance

  • Legal assistance

  • Health club discounts