Risk and Compliance Professional
6 days ago
We are seeking a professional to fill the role of Risk and Compliance Advisor. As a trusted adviser, you will partner with our Front Office team to identify and assess risk and compliance issues, influencing outcomes and providing support for control and mitigation activities.
The successful candidate will be responsible for providing front-line support to Advisers, Associate Advisers, and Associates, Heads of Advisory, Front Office Risk Manager(s), and Regional Managers. This includes reviewing, advising, and challenging them on business risks and compliance obligations, as well as building effective relationships with stakeholders to facilitate a strong culture of risk and compliance awareness.
You will assist the Business in understanding and implementing risk, compliance, and controls frameworks, ensuring they are integrated efficiently into day-to-day operations. Additionally, you will work with Front Office Business Units to develop, maintain, and review risk and compliance objectives, priorities, accountabilities, and responsibilities.
Requirements
- 5+ years of experience in risk, compliance, and/or assurance, preferably in wealth management or with regulators.
- Understanding of the Wholesale and Retail regulatory environments within Australia.
- Experience overseeing wealth management advice business functions, including monitoring and conducting file reviews.
- Excellent communication and interpersonal skills, with the ability to manage expectations and communicate difficult messages.
- Bachelor's degree in Commerce, Management, Finance, or Law, or relevant industry qualifications/certifications.
About Us
We are an entrepreneurial family office with years of experience in managing sizeable sums of assets. We pride ourselves on transparency and open communication. If you feel addressed by our job description, please submit your online application.
We look forward to getting to know you.
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