Role Description
The Risk and Compliance function exists to enable the FNZ Group to safely achieve its strategic objectives and protect value; to support the growth and delivery of services and propositions to the quality our clients and regulators expect.
This role has been created in order to:
Reporting into a Risk and Compliance Senior Manager or Head of Function this post sits within the second line of defence (2LOD) risk and compliance function and can shape the risk and compliance approach within FNZ. This role will provide insight, oversight and challenge on risk and compliance matters.
Specific Role Responsibilities
Manage all risk and compliance related matters;
Implement and/or enhance the risk management and control framework;
Enhance Risk Management policies and procedures and undertake a review of 2nd Line Risk Maturity;
Drive the end-to-end implementation of regulatory changes impacting the organisation;
Identify emerging risks and assist the Chief Legal, Risk and Compliance Officer FNZ Securities APAC in developing strategic solutions;
Develop, present and track mandatory training requirements;
Analyse new legislation, determine the impact on FNZ and its customers and liaise with business partners to ensure successful implementation;
Develop and implement relevant obligation registers and control frameworks to address regulatory and other change requirements;
Provide new employees with compliance and risk induction training and ensure all Training & Competence and Individual Registration documentation is completed as required;
Ensure that all risk events (incidents and breaches) are investigated to determine root cause, that appropriate remedial actions are taken, that incidents are reported to clients and internal committees;
Completion of monthly risk and compliance reporting to clients, boards and committees;
Liaise with and provide guidance to internal and external stakeholders as required on compliance and risk related matters;
Undertake any other projects/tasks as may reasonably be required to facilitate the smooth operation of the company;
Work with Internal Audit, project & process governance teams, legal, delivery and the rest of the Risk and Compliance function to enhance and strengthen the controls framework;
Update compliance policies and procedures & provide subject matter expertise and advice to key stakeholders within the business in line with the relevant regulatory standards;
Provide oversight and challenge to Line 1 teams;
Collaborate with senior leaders and Group Executive stakeholders to strengthen the Risk and Compliance framework.
Experience Required
Tertiary qualification or equivalent;
Prior experience in internal audit, risk or compliance is required;
Sound knowledge of the Financial Services industry and the related regulatory environment including, Capital Markets License requirements, AML/CFT, Privacy;
Demonstrated understanding of familiarity with relevant FMA licensing requirements and Guidance Standards;
Sound knowledge of risk or compliance practices including KYC practices, transaction monitoring, compliance monitoring and oversight;
Strong relationship management and interpersonal skills essential;
Problem Solving and Analysis;
Sound report writing, presentation and verbal communication skills at all organization levels;
Demonstrated ability to support required behavioural and cultural change;
Strong commercial acumen and pragmatic approach to driving change;
Advanced user of MS Office product suite (i.e., Word, Excel & PowerPoint).
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