Job Description:
The successful candidate will be working with our client, a global financial services firm, in their Wealth Management business on an initial contract.
This role is responsible for implementing and monitoring the firm's branch supervisory manual to ensure the business operates within specific risk appetite levels.
Key Responsibilities:
* Develop strong relationships with staff to foster a strong risk culture within the branch.
* Identify and provide guidance/solutions to State Manager and Head of Branch Supervision on risk issues.
* Provide guidance to advisers regarding regulatory and risk obligations, as well as proactively manage the advice/suitability framework to ensure compliance.
* Prepare Key Risk Indicator reporting for State Manager and investigate material risks identified through reporting.
* Conduct detailed account reviews, preparing reports for advisers and State Manager on outcomes.
* Collaborate with Legal & Compliance team on complaint resolution.
* Work closely with other risk functions to enhance the supervisory framework and contribute to projects as needed.
* In conjunction with State Manager, ensure the Branch maintains ethical standards contained in Company Code of Conduct, firm policies, and regulatory requirements.
Requirements:
1. Minimum 3-4 years' experience in compliance or risk management within a financial services setting, preferably with equities focus.
2. First line of Defence risk knowledge.
3. University Degree in Finance, Business, or Economics (preferred) but not essential.
4. Recognised industry qualifications (desired) but not essential.
5. Desirable ASIC RG 146 and ASX Accredited Derivatives Adviser (ADA Level 1) accreditations.