Senior Risk and Compliance Professional
2 days ago
We are seeking a highly skilled Risk and Compliance Specialist to join our team in Sydney. As a key member of the advisory function, you will play a critical role in embedding risk frameworks, uplifting compliance culture, and enabling advisers to deliver exceptional client outcomes.
Your primary responsibilities will include monitoring and managing risks and obligations, conducting independent second-line reviews, and facilitating risk workshops. You will also lead incident and breach management, translate policy into practice, and build strong relationships with advisers.
Key Responsibilities:- Partner with Advisers, Associates and Regional Managers to monitor and manage risks and obligations.
- Conduct independent second-line reviews across client files, transactions and assurance activities.
- Facilitate risk workshops, build and maintain risk registers, and support the ongoing development of risk profiles and controls.
- Lead incident and breach management end-to-end, ensuring timely resolution and reporting.
- Translate policy into practice – operationalise frameworks, educate stakeholders, and ensure adoption across the advisory business.
- Build strong relationships with advisers – influencing, educating, and helping them succeed.
- Balance responsibilities across both Line 2 and Line 1: while the role has a strong Line 2 focus (oversight, monitoring, challenge), it also encompasses some first-line support, including adviser file reviews, transaction monitoring.
- Provide input into compliance plans, training, awareness campaigns, and assurance activities to strengthen the overall risk culture.
- Strong Line 2 risk and compliance experience within wealth management, with 5+ years across risk, compliance or assurance.
- Wholesale wealth management exposure highly regarded;
- Solid knowledge of advice processes, file reviews and the regulatory environment.
- Strong stakeholder engagement skills – able to educate, influence and manage conflict.
- Excellent analytical, communication and problem-solving skills.
- A collaborative and supportive leadership team with clear visibility to senior stakeholders.
- The opportunity to work in a role that's both independent and business-facing, driving real uplift in risk culture.
- Be part of a dynamic environment where you can make a measurable impact.
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