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Head of LRC Operations & Governance

Melbourne
Posted
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Netwealth Investments Limited
Banking, investment & finance
501-1,000 employees
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About us:

At Netwealth we are an innovative, award winning, ASX listed investment platform, superannuation and administration business delivering market-leading products. We are on a mission to enable people to see wealth differently and discover a brighter future, not just for our clients but also for our people. We invest in our employees and encourage them to grow professionally and personally.

In this role you will be inspired by diversity & driven by inclusion.

Our Values are who we are, how we tackle decisions and how we want the world to see us. We are Curious, Courageous, Collaborative, Agile, Genuine and Optimistic.


The Opportunity:

Reporting to the Chief Risk Officer this role will be responsible for the management of Legal, Risk and Compliance Operations and Governance for Netwealth Group Limited (NGL) and its subsidiaries (Group).

In this role you will be primarily responsible for:

  • Overseeing and managing the Governance team who provide support to the Netwealth Group Limited Board of Directors, subsidiary boards and selected Board Committees.
  • Working closely with the Company Secretaries, the Governance Manager and the Board Administrator to ensure the efficient management of corporate governance requirements.
  • Ensuring the team coordinates Board appointments/resignations, fit and proper requirements, schedules, board papers coordination (and where applicable drafting and preparation), minutes and other relevant board governance requirements.
  • Managing Legal, Risk and Compliance systems and infrastructure to ensure the team can operate efficiently.
  • Managing relationship with Legal, Risk and System suppliers on behalf of department (e.g. GRC system – Protecht, Governance system – Diligent)
  • Oversight, development and management of Netwealth Policy Governance Framework including ongoing management of annual and periodic policy review and updates including preparation of board and committee related papers
  • Working with Netwealth’s Learning & Development team to design and deliver regulatory and compliance training to directors, employees and contractors. Oversee reporting and completion rates and ensure non-completion is escalated where applicable.
  • Managing the Conflict of Interest Framework and related policies, systems and registers to ensure that conflicts are appropriate managed, avoided or disclosed. Provide advice to business areas on the appropriate response to potential, actual and perceived conflicts of interest.
  • Coordinating the preparation of responses to external dispute resolution schemes (e.g. AFCA) working closely with colleagues, including Risk and Compliance, and Service Administration and Support colleagues to ensure Netwealth provides timely, complete and appropriate responses. Provide guidance and support to teams managing internal dispute resolution responses.
  • Ensuring the Legal, Risk and Compliance team manages its records in compliance with laws, regulations and internal policies/procedures.
  • Working closely with the Head of Risk and Compliance, ensure the Risk in Change framework is current and aligned to the overall Risk Management Strategy. Manage dedicated project or integration Risk and Compliance staff.
  • Managing the LRC Calendar and ensure all LRC team members are aware of regular and upcoming deliverables and deadlines (e.g. fit and proper reviews, risk management declaration, fraud assessments, policy reviews).
  • Working closely with the LRC leadership team to develop and implement reporting for the board, committees, the Executive and management via dashboards and other reporting tools on Legal, Risk and Compliance metrics

General

  • Independently perform data analytics to implement new solutions to improve legal, risk and compliance operations and governance ;
  • Provide leadership and support to the team, including managing and mentoring direct reports;
  • Provide of advice and guidance on risk and compliance matters as required;
  • Manage legal, risk and compliance projects;
  • Provide exceptional customer service to all parts of the business;
  • Oversee work produced by team and where applicable provide training and guidance;
  • Support the Chief Risk Officer in rolling out strategic legal, risk and compliance initiatives;
  • Opportunity to take on regulated roles (e.g. AML/CTF Compliance Officer, Privacy Officer);
  • Member of the Legal, Risk and Compliance Leadership Team.

We’d love to hear from you if you have:

  • 10+ years financial service experience is essential;
  • 10+ years operational leadership and/or governance experience is essential;
  • 6+ years legal, risk and compliance operations experience is preferable;
  • Superannuation, Investments, IDPS and Managed Account experience is essential;
  • Ability to influence change and interact with all levels of the organisation, including the Board, Committees and Executive;
  • A degree in Economics, Finance, Legal or Commerce (or similar) is preferable;
  • Strong organisational skills, including the ability to manage matters;
  • Sound problem-solving and analytical skills;
  • Excellent written and communication skills;
  • A positive and proactive attitude and an ability to adapt to change; and
  • A passion for providing outstanding service to your stakeholders.

Why Netwealth?

  • We are a flexible and adaptable hybrid workplace
  • We have a stylish new CBD office with end of trip facilities for your cycle to work
  • We are a social bunch who get together regularly, and participate in corporate sporting events, games and trivia nights
  • We are a family friendly workplace with parental leave and holiday programs for the kids
  • We are invested in our local communities through the Netwealth Impact Group with fundraising, events, and volunteering
  • Wellness and lifestyle perks including discounted gym memberships, health insurance, shopping and retail discounts, access to financial wellbeing services
  • We recognise our people milestones and achievements through reward and recognition
  • We are keen to invest in you, through technical and professional learning experiences

Apply now!

Are you curious about this opportunity but don't meet every single requirement? Research shows that we don't always apply to jobs we are interested in unless we meet every single qualification. Here at Netwealth we are dedicated and enthusiastic about creating an inclusive and diverse workplace. If you are excited about this role but don't tick every box, we encourage you to apply anyway!