Risk and Compliance Expert

2 days ago

Sydney, New South Wales, Australia beBeeCompliance Full time $150,000 - $180,000
Job Description

We are seeking a Risk and Compliance Professional to join our organization. This critical role will support our front office advisory function, with a strong focus on embedding risk frameworks, enhancing compliance culture, and empowering advisors to deliver exceptional client outcomes.

Main Responsibilities
  • Partner with advisors, 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.
  • Operationalize policies into practice – educate stakeholders, ensure adoption, and facilitate understanding across the advisory business.
  • Build strong relationships with advisors – influence, educate, and assist them in achieving success.
  • 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 advisor file reviews, transaction monitoring.
  • Provide input into compliance plans, training, awareness campaigns, and assurance activities to strengthen the overall risk culture.
Required Skills and Qualifications
  • Strong Line 2 risk and compliance experience within wealth management, with 5+ years across risk, compliance, or assurance.
  • Wholesale wealth management exposure is 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.
Benefits

This role offers a unique opportunity for professional growth and development, as well as the chance to make a meaningful impact on the organization's risk culture.

Others

If you have a passion for risk management and compliance, and are looking for a challenging and rewarding role, please apply.

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