Position Title
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
Skills & Experience
* 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)
What's on Offer
* Competitive salary package
* Exposure to a national adviser network
* Professional development and training opportunities
* Collaborative, high-performance culture
* Backing of global financial group
Click 'APPLY' or contact Eoin Reynolds at .
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.
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