Compliance – Private Wealth in Banking & Financial Services Jobs

Well established banking group is recruiting a senior compliance professional. The organisation offers a full range of services across investment banking, sales and trading and prime brokerage to the Australian market.

Reporting to the Head of Compliance for private wealth the role will have responsibility for the facilitation of risk management support across all business lines to ensure they are meeting their licensing and regulatory obligations in the markets in which they operate. Business lines include brokerage, private banking, financial planning and retail products. This position will have performance management responsibility for the team and provide coverage for the Head of Compliance as well as work closely with the business to drive continuous improvement as well as the business as usual duties of assessment, surveillance and monitoring.

We are seeking a dynamic leader who can work in a quickly changing environment with advanced people management skills and be able to demonstrate that they can develop a robust risk management framework and have the gravitas to liaise and provide advice and represent the group at a senior level within the business. It is essential that you have institutional as well was retail experience.