Risk & Compliance Officer

2 weeks ago

Sydney, New South Wales, Australia Keegan Adams Full time

The Opportunity:
An exciting opportunity is available for an ambitious graduate to further advance their career in risk and compliance with one of Australia's leading Private Wealth & Corporate Advisory businesses.

Working closely alongside the Executive Manager, Compliance & Risk you will broaden your exposure across a variety of compliance matters relating to the financial markets with ongoing training & mentorship provided.

Typical duties:

  • Review trading behaviour to ensure compliance with rules and regulation;
  • Assist in the drafting, implementation, and testing of the firm's control testing program
    Mange risk through control
  • Identify risks across the advisory, financial planning, research, institutional sales, corporate finance and administration functions and develop policies and procedures to address those risks;
  • Maintenance of registers and mailbox;
  • Drafting, implementation and testing of control testing program;
  • Ongoing management and addressing queries of AML related matters across the business;
  • Monthly and ongoing reporting
  • Maintenance and development of compliance policies and procedures
  • Provide guidance to internal stakeholders on risk & compliance matters.

The successful candidate will have:

  • A University degree in either Law, commerce, finance or other relevant discipline;
  • Experience within either AML compliance and/or operational risk as it relates to the financial services industry
  • A genuine interest in the financial markets.
  • Strong analytical and problem solving ability
  • Exceptional written and verbal communication skills with strong stakeholder engagement skills.
  • Full Australian working rights (PR or citizenship)

This company have not only built an outstanding reputation in industry, but they have also created an internal company culture that they are very proud of. The team have regular social events, lunches, charitable days and a genuine sense of community. This role is a permanent full-time role, working 5 days/week in their modern CBD offices with frequent staff perks.

We are interviewing immediately, to apply please send your CV via the APPLY link on this website or call Alice Pipes on

Consultant

Alice Pipes

Director, Permanent Recruitment


Reference number: 11722
Profession:Risk & Compliance

Company: Keegan Adams
Date posted: 23rd May, 2024

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