Risk and Compliance Advisor

6 days ago

Melbourne, Victoria, Australia Sustainability Full time
We are looking to recruit an experienced Risk and Compliance Advisor to join a top-tier Financial Services organisation. In this role, you'll collaborate closely with the Advice team, playing a key part in identifying and evaluating risks, ensuring regulatory compliance, and supporting the development and execution of robust control measures. Key Responsibilities:

- Act as the first point of contact for Advisors, Associate Advisors, and Front Office leaders, assisting in identifying, managing, and mitigating risks across daily operations.
- Oversee second line of defence activities, including ongoing risk and compliance evaluations, to ensure the business properly identifies, evaluates, records, and manages risks while adhering to regulatory obligations.
- Review and challenge business practices, strategies, and procedures to ensure alignment with risk and compliance standards.
- Establish and maintain strong working relationships with key stakeholders to promote a culture of risk awareness and compliance.
- Help the business effectively integrate risk, compliance, and control frameworks into daily processes, ensuring adherence to company policies and regulatory requirements.
- Monitor and review risk registers, compliance plans, and procedures to maintain accurate oversight of incidents, breaches, and regulatory obligations.
- Support governance processes by participating in relevant committees and providing risk and compliance expertise across business units when needed.

We are looking to recruit an experienced Risk and Compliance Advisor to join a top-tier Financial Services organisation. In this role, you'll collaborate closely with the Advice team, playing a key part in identifying and evaluating risks, ensuring regulatory compliance, and supporting the development and execution of robust control measures. Key Responsibilities:

- Act as the first point of contact for Advisors, Associate Advisors, and Front Office leaders, assisting in identifying, managing, and mitigating risks across daily operations.
- Oversee second line of defence activities, including ongoing risk and compliance evaluations, to ensure the business properly identifies, evaluates, records, and manages risks while adhering to regulatory obligations.
- Review and challenge business practices, strategies, and procedures to ensure alignment with risk and compliance standards.
- Establish and maintain strong working relationships with key stakeholders to promote a culture of risk awareness and compliance.
- Help the business effectively integrate risk, compliance, and control frameworks into daily processes, ensuring adherence to company policies and regulatory requirements.
- Monitor and review risk registers, compliance plans, and procedures to maintain accurate oversight of incidents, breaches, and regulatory obligations.
- Support governance processes by participating in relevant committees and providing risk and compliance expertise across business units when needed.

Skills and Experience:

- Previous experience in risk, compliance, within the financial services sector
- Proven track record overseeing advice operations, including monitoring and conducting file reviews,
- Hands-on expertise in risk and compliance management frameworks and processes.
- Ability to manage relationships with key stakeholders effectively.

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