Legal & Compliance Recruitment Agency

Overview:

Our client seeks a a Head of Risk & Compliance  to lead risk, compliance, and regulatory management. The role working closely with a high performing legal team involves oversight of all risk management, regulatory matters, and management and monitoring of their Australian Financial Services Licence (AFSL).

Key Responsibilities:

• Oversee all risk, compliance, and regulatory affairs, ensuring adherence to AFSL conditions and engagement with regulators as needed.
• Maintain and update risk, compliance, and regulatory documentation and manage the risk and compliance committee meetings.
• Serve as Company Secretary for AFSL licensee meetings, and liaise with authorities like ASIC, APRA, AUSTRAC, and OAIC.
• Act as Compliance Officer, Privacy Officer, and AML/CTF Officer, and conduct regular staff training on risk and regulatory topics.
• Oversee whistleblower arrangements, manage conflicts of interest, and ensure accurate reporting for ESG and UNPRI requirements.

Accountabilities:

• Manage the Risk Management Framework and risk registers.
• Ensure compliance with AFSL obligations and organizational competence, training staff on breach reporting obligations.
• Keep regulatory documents updated and lead committee meetings, providing comprehensive agendas and minutes.

Qualifications & Skills:

• Bachelor’s degree in law, finance, or economics with 8-10 years of industry experience within a leading bank or investment/private credit provider
• Experience within alternative investments and complex credit are essential
• Expertise in regulatory frameworks, strong analytical skills, professional communication, and problem-solving abilities.
• Strong business acumen, collaborative teamwork skills, and self-motivation.