Description:
Experienced Risk and Compliance Professional within Stockbroking or Wealth Management?? High Profile Reputable Firm.
Our client is a leading Investment and Wealth Management Firm who service clients ranging from Individuals, Institutions, Corporates and Charities. They have become a well-respected industry player and currently have a vacancy for a Risk and Compliance Officer.About this role
As Risk and Compliance Officer, you will report into the Senor Manager, Risk and Compliance and work closely with the Chief Compliance Officer, Internal Legal Counsel, Financial Advisers, Operations, Trading and Market Analysts and play a key role in designing and implementing appropriate governance arrangements across the business. Activities will include risk management, compliance management, control testing and other tasks as required.
Key responsibilities
- Developing and refining compliance reporting and frameworks
- Trade monitoring and surveillance to check for any suspicious/unusual trading patterns
- Development and drafting of Compliance procedures across the business to mitigate any risks
- AML maintenance across the business
- Conduct control testing of advice records and adviser communications to ensure the quality and type of advice is appropriate and in the best interest of clients
- Investigating, analyzing and reporting any Risk and Compliance breaches
- Participation in open discussions around Compliance matters including regulatory change along with facilitation of Compliance training/coaching.
Essential for the position
- Strong understanding of relevant ASIC and ASX rules
- Qualifications in law, commerce, finance or other relevant discipline
- High attention to detail with strong communication skills (verbal and written).
Highly desirable for the position
- Operational risk experience including control testing / quality assurance
- Familiar with a range of asset classes with a key focus on equities and ETO's.
Sounds Great! How do I apply?
If you have the skills and experience as detailed above, and this sounds like the role for you, please upload your resume NOW! Any questions, please contact Paul Richardson at Succession Recruitment on 0421 744 322.
16 Apr 2024;
from:
adzuna.com.au