Manager, Advisory Line 1 Risk - 9 Month Contract

Do work that matters
CommSec Advisory is a full service Stockbroker with approximately 33 staff nationally. Working within CommSec, our role is to provide investment advice in accordance with the Corporations Act and the associated legislation (FoFA).
CommSec Advisory is a team focused on providing exceptional advice and customer service.
See yourself in our team
The purpose of this position is to serve as one of the Line 1 Risk advisor for CommSec Advisory business and to support the Senior Manager Advisory to execute the range of services that support CommSec governance and risk management.

The Manager, Advisory will work alongside the Investment Advisors and to support the quality of advice and adherence to appropriate business rules, primarily driven through file reviews and the vetting of SOAs. The Manager will also need to develop and maintain relevant engagement with key stakeholders.
To apply for this role you should have a strong background in financial advice; experience in compliance and stockbroking will be highly regarded.
Key responsibilities will include:
Conduct annual advice quality reviews across all Investment Advisors, ensuring all obligations were met and regulatory requirements accurately and timely completed.
Review of SOAs, ongoing advice and other associated advice documentation to ensure quality, and adherence to Best Interest Duty obligations.
Take an active role in the proactive identification of risk within the business and actively take steps to mitigate those risks.
Support the understanding and embedment of the business rules, SOPs and key obligations.
Assisting and supporting the Senior Manager Line 1 Risk to execute the team strategy to support risk management objectives across CommSec.
Assisting in preparation of reporting packs, taking minutes and monitoring actions at various governance forums.
Performance of Line 1 controls assurance testing where required.

Were interested in hearing from people who have:
Experience in financial advice or the stock broking industry.
Tertiary qualifications and are RG146 compliant.
Experience in operational risk and compliance (ideal, not essential).

At CommBank, we're committed to building a diverse and inclusive workforce reflecting the customers, businesses and communities we serve. As a value's driven organisation, we nurture and support our people; through focussing on skill and talent development, collaboration, flexibility and internal promotion. With service in mind at every touch point, we take accountability for the role we play in securing and enhancing the financial wellbeing of people, businesses and communities. At CommBank you can be you.