Associate - Risk & Compliance

7 days ago

Sydney CBD, New South Wales, Australia E&P Financial Group Full time $80,000 - $120,000 per year
Job DescriptionThe Company

The Focus

The Role

As an Associate at E&P's Sydney office, you will play an integral role in supporting the Risk & Compliance team, ensuring the smooth running of daily operations while working both independently and as part of a dynamic team. This is an ideal role for a proactive and motivated individual looking to enhance their skills, gain valuable experience and progress their career within Financial Services. This role will provide exposure to a broad range of areas such as Wealth, Institutional Equities, Research and Corporate Advisory.

A typical day may include:

  • Providing ongoing compliance support and advice to representatives and stakeholders to ensure continued compliance with the relevant requirements
  • Enhancing the Line 2 supervision and monitoring framework
  • Conducting ongoing and thematic supervision and monitoring activities, particularly in relation to AML/CTF and Privacy
  • Ongoing review and improvement of policies and procedures
  • Preparing reports for the Board and various Risk/Compliance Committees or senior management
  • Supporting divisional Risk and Control Self-Assessments
  • Participating in project work, ensuring alignment with regulatory and compliance requirements
  • Monitoring, assessing and assisting in rolling out regulatory change
  • Assisting with licensing registrations, renewals and submissions
  • Assisting with regulatory notifications and requests
  • Assessing and investigating potential incidents and breaches
  • Designing and delivering relevant training to staff across the group

Our Benefits

We have a range of benefits that we think you'll like including daily breakfast options, purchased annual leave, and discounted services.
We know our people work hard, so we have an active social and sporting calendar to ensure the balance of work and social is just right. We take our responsibilities to our people, clients and community seriously and as an equal opportunity employer, value inclusion and diversity.

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