Risk & Compliance Manager

A BIT ABOUT US

Class is a subsidiary of HUB24 Limited (ASX:HUB), a leading provider of integrated platforms, technology and data solutions for financial advisers, accountants, private banks, licensees, stockbrokers and their clients. HUB24 delivers innovative product and technology solutions to empower better financial futures, together.

But it’s not just about what we do. It’s about empowering the wealth industry to change peoples’ lives for the better. We believe that nothing happens in isolation, so we work together and collaborate with our customers and the industry, building confidence.

The role

The Risk & Compliance Manager role will be responsible for assisting with planning and coordinating operational activities across the company to ensure we satisfy all our regulatory obligations and stated company objectives. This will include keeping abreast of regulatory requirements, company policies, creating awareness within the business of such requirements and addressing any non-conformances.

You will be required to work with all departments to ensure all business units remain compliant with our policies and standards and risk is managed effectively.

This position is based in Sydney.

key responsibilities

• Stay updated on regulatory developments and best practices in compliance control.
• Assist with engagements with regulatory bodies like ASIC, ATO, and OAIC.
• Monitor and report on compliance with regulatory and contractual obligations.
• Collaborate with HUB24 Risk & Compliance to develop and maintain the Class Group’s risk management framework and privacy policies.
• Conduct regular risk reviews with the Class Leadership Team.
• Engage with key stakeholders to coordinate risk management activities across the Class Group.
• Participate in assurance engagements and lead remediation of identified risks.
• Maintain registers for risk, dispute, and regulatory correspondence.
• Work with HUB24 Legal on customer redress, contractual templates, and lawful information requests.
• Ensure compliance with policies and standards across the business, applying document control procedures.
• Assist in information awareness training programs and maintain the training register.
• Prepare compliance and risk reports for senior management, and coordinate access reviews and BCP/Crisis Management Testing.

Key requirements

• Bachelor's degree in Accounting, Business, Law, or a related field.
• Over 5 years of experience within Line 1 Risk & Compliance, including a minimum of 3 years working for a Technology business.
• Proficient in the ISO 31000 Risk Management Framework.
• Understanding of risk metrics such as Key Risk Indicators (KRIs) and Key Control Indicators (KCIs).
• Familiarity with enterprise risk management solutions.
• Knowledge of industry regulations and best practices.
• Experience with assurance engagements over internal controls and security audits.
• Excellent interpersonal, written, and verbal communication skills.
• Strong critical-thinking, problem-solving, and attention to detail.
• Ability to maintain strong working relationships and work effectively in a team.

THE CLASS STORY

At Class, our vision is to reimagine a simpler, more automated world for our customers through innovation and technology leadership. We reimagine solutions through the smart application of technology to make processing and data connection painless and by simplifying complex customer problems.

Check out why our people love working at HUB24! 

We pride ourselves on being an inclusive employer of choice where our people can bring their whole selves to work and feel 100% safe and supported to do so. If you don't feel you fit this role 100%, we would still love to hear from you. Tell us what you're interested in - you still might have a skill we didn't realise we needed!

The Recruitment Process: 

- Acknowledgement email once your application has been submitted. 

- Our Talent team will start reviewing your application, if unsuccessful you will be notified. 

- If your application progresses to the next stage, our Talent team will be in touch to discuss your alignment with the role. 

- If you’re a person with an impairment or disability, this is an opportunity to share with us any accessibility requirements that you may have for the role.

- Should you require any accommodations to the recruitment process, please contact [email protected] and one of our team will be in touch. 

- Interviews can happen virtually or face to face with the hiring manager, or other members of the broader team. Depending on the role, there may be more than two interviews. 

- Communication of outcomes to successful and unsuccessful candidates and feedback provided. 

*As part of our process, a police check will be conducted on all successful candidates*. Further details on our HUB24 Group Recruitment Privacy Collection notice can be found here. 

2024 Circle Back Initiative Employer – we commit to respond to every applicant. 

Endorsed by WORK180, we are proud to be recognised as an employer of choice for women. 

We have been nominated and placed on the BOSS Best Places to work list.