Reporting directly to the Head of Risk and Compliance you will be involved in:
- Ensuring the firm and employee compliance with internal policies and procedures, and the relevant legislative framework.
- Ensuring the firm has adequate systems and processes to maintain compliance with applicable privacy legislation and to ensure total confidentiality in respect of client information.
- Conducting appropriate audits to ensure adherence to risk controls and standards.
- Undertaking and participating in periodic compliance reviews and reporting.
- Investigating and reporting compliance breaches.
- Maintaining documentation of compliance activities
- Serving as a liaison to auditors, and client representatives regarding documentation, compliance and ongoing review of information and processes.
- Communicating audit and review results to appropriate parties, ensure that issues are addressed and corrective actions are implemented.
- Keeping a tracking action list of all audit issues and remediation plans.
- Undertaking internal audit activities for the internal audit program.
- Supporting the Head of Risk & Compliance with risk education, including conducting workshops where suitable.
For a confidential discussion please contact
m: 0414 223 338