Risk &Compliance Officer
Company Overview
A leading investment and wealth management firm with over $47 billion in assets under advice. Offers tailored investment solutions to individuals, institutions, corporates, and charities, backed by a global financial group.
Role Overview
Reporting to the Executive Manager, you’ll support over 200 investment advisers and 50 financial planners in delivering compliant, high-quality financial product advice.
- Conduct adviser reviews under internal compliance programs
- Review advice documents (SOAs, ROAs) across equities, derivatives, and managed funds
- Provide regulatory guidance and support practice improvements
- Deliver training sessions and seminars on advice and compliance topics
- 3+ years in financial services
- Strong understanding of financial advice regulations (retail & wholesale)
- Interest in public markets, stockbroking, and funds management
- Excellent communication and analytical skills
- Tertiary qualifications in law, commerce, or finance (highly desirable)
- Experience in stockbroking, wealth or financial planning (highly desirable)
- Competitive salary package
- Exposure to a national adviser network
- Professional development and training opportunities
- Collaborative, high-performance culture
- Backing of global financial group
We are committed to providing a supportive culture and positively contributing towards creating diverse and inclusive workplaces for our candidates & clients. We invite candidates of all ages, genders, sexual orientation, cultural backgrounds, people with disability, neurodiverse individuals, and Indigenous Australians to apply.
