Lindy Wang Email and Phone Number

Provides first line controls and risk assurance to Personal Direct

Provide risk and compliance support to the business across several business units, including financial advice, unpaid super collection services, pooled superannuation trusts and previously an eligible rollover superannuation fund (AUSfund).Responsibilities include:- Assisting with maintaining the Risk Management Framework for the Industry Fund Services (IFS) group, conducting risk reviews with stakeholders and updating risk registers and risk controls.- Assisting with AFSL and… Show more Provide risk and compliance support to the business across several business units, including financial advice, unpaid super collection services, pooled superannuation trusts and previously an eligible rollover superannuation fund (AUSfund).Responsibilities include:- Assisting with maintaining the Risk Management Framework for the Industry Fund Services (IFS) group, conducting risk reviews with stakeholders and updating risk registers and risk controls.- Assisting with AFSL and Registrable Superannuation Entity (RSE) licence compliance monitoring and management by providing advice to the business on AFSL and RSE licence obligations.- Maintaining internal compliance policies, frameworks and guidance documents for the IFS Group. This includes periodic and ad hoc reviews for regulatory and business changes, updating the documents as well as implementing the changes across relevant Stakeholders.- Maintaining and managing IFS' AML/CTF program, including ongoing advice to the business, managing the enhanced due diligence requirements for high risk and politically exposed person (PEP) clients and submitting compliance reports and suspicious matter reports to AUSTRAC- Assessing incidents against breach reporting obligations and submitting breach reports to ASIC - Preparing and presenting risk and compliance reports to the IFS Board and Risk Committees - Preparing and collating papers for the management committee for financial advice risk - Reviewing marketing and external document as part of compliance due diligence- Manage IFS Group’s internal audit program including liaising with internal auditors, stakeholders and overseeing the implementation of audit actions- Management of complaints (both internal dispute resolution and external dispute resolution) Reviewing and drafting contracts for the IFS Group and completing compliance due diligence on service providers Show less

Key Responsibilities:• Completion of compliance testing program, documentation of results and identification of remedial actions• Assisting with dispute resolution procedures including assessing and responding to client complaints • Assisting with suspicious transactions reporting obligations, including the review and assessment of suspicious activity or suspicious trade referrals

Key responsibilities:• Monitoring and reporting on building practitioner and building permit levy compliance levels to assess levels of compliance risk• Assisting in analysing data and associated reporting activities• Assisting with conducting and reviewing investigations in connection with practitioner non-compliance • Maintain process documentation and identify and implement process improvements