Risk & Compliance Assistant - Wealth Management

1 week ago

Sydney, New South Wales, Australia Anton Murray Consulting Full time

Sydney- Wealth Management- PermanentThis is a great opportunity to join a leading stockbroker in a junior risk and compliance capacity.


Responsibilities:

  • Provide guidance to staff to ensure compliance with firm policies and procedures, regulatory and legislative requirements
  • Assist with the coordination of client events, seminars, research and company presentations
  • Coordinate Initial Public Offering Bid & Allocation process for the NSW office
  • Coordinate Branch Training Requirements inc. Compliance tracking and follow up
  • Maintain account files and undertake regular followup on missing documents
  • Provide administrative support to the Branch Management Team
  • Provide coverage for Branch Administration Assistant, including scanning and mail distribution
  • Assist branch management in the development, and monitor the success of revenue initiatives at all levels from advisers originated to Firm wide projects
  • Assist with onboarding of new advisers and their clients
  • Comply with ethical standards contained in the Company Code of Conduct.

Skills required:

  • Knowledge of Australian securities regulations and compliance requirements, including ASX Business Rules, Corporations Act and AML
  • At least 2 years experience in the Securities industry
  • Ability to identify risk and minimise potential liabilities to the business
  • Welldeveloped IT literacy, and analytical skills
  • Knowledge of financial markets fundamentals
  • Detailed understanding of how the organisation fits within the Australian market and global operations.
  • Good understanding of the Private Client business model
  • Strong client service focus
  • Ability to build rapport at all levels
  • Goaloriented with demonstrated drive and initiative
  • Ability to work under pressure and to tight timeframes within a team

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