Head of Risk | Stockbroking

Client Overview

Our client is a successful Wealth Manager with diverse offerings across Stockbroking, Investment Management and Financial Advice.

Role Overview

We are seeking a talented and diligent Head of Risk. This is a perfect role for an experienced individual who enjoys autonomy and has the flexibility to get the job done.

This key role supports the businesses and management in their compliance across stockbroking, derivatives and investment management offerings.  It also ensures all operational and compliance risk management activities are focused on providing relevant insights with respect to supporting key business strategies and key risks.

  • Develop and implement frameworks and initiatives to enhance the management and commerciality of the Derivatives business, instilling a culture of continuous improvement
  • Review and enhance the operational and risk management models of the Derivatives business
  • Provide oversight of credit, market and emerging risks for the Equity’s and Derivatives business
  • Regular reporting to Management Committee and Risk & Compliance Committee
  • Ensure that the department Key Controls and Exception Reports are adequately monitored and reported, in accordance with the Compliance Plan
  • Identify and respond to regulatory compliance risks
  • Ensure compliance with the rule frameworks; including ASX Operating Rules and ASIC Market Integrity Rules

Skills & Experience

  • Minimum 10 years industry experience
  • Experience in risk management of Equity and Derivative Markets
  • Excellent written and oral communications skills
  • Strong problem-solving and trouble shooting skills
  • Working knowledge of trading and administration systems, particularly IRESS (IOS), DION Trade Centre, and NASDAQ SMARTS
  • Extensive knowledge of the Corporations Act, Financial Transactions Reports Act, ASX Operating Rules, ASIC Market Integrity Rules
  • Designated Trading Representative accreditation (Cash and Derivatives) (Desirable)

What’s on Offer

This is a great opportunity to join a market leader, with a proven track record of success. Surrounded and supported by experienced professionals who enjoy a workplace driven by success and growth, you will be given an opportunity to build a prosperous and rewarding long term career.
If you believe that you meet the selection criteria and believe that this is the right opportunity for you, then please apply now for an immediate review of your resume or contact Philip McLean on 02 9240 6377.

Head of Risk | Stockbroking

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