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About the Role
As a member of the Risk and Advice team, you will collaborate with Advisers, Associates, and Risk & Compliance to promote a culture of compliance and robust risk management. This role focuses on providing guidance, coaching, and training to ensure effective risk identification and management within the Wealth Advice division.
Responsibilities
- Enhance Line 1 supervision, monitoring, and controls framework
- Conduct ongoing and thematic Line 1 supervision and reviews of investment and strategic advice
- Coach Advisers and Associates through real-time guidance and feedback
- Facilitate regulatory process management via technology systems
- Communicate with management to ensure appropriate supervision and delegation
- Escalate incidents and potential issues to management and Risk & Compliance
- Assist Risk & Compliance with investigations into incidents and complaints
- Apply and communicate directives from Risk & Compliance
- Prepare reports for risk and compliance committees and senior management
- Maintain knowledge of relevant laws and industry standards
- Participate in ad hoc projects and tasks
Requirements
- Bachelor’s degree in any discipline, preferably finance, commerce, or law
- Interest in managing risk within stockbroking, investment advice, paraplanning, or financial planning
- Understanding of the regulatory framework for retail financial advice, market participants, and research
- High level of initiative, resilience, and sound judgment
- Ability to prioritize workloads and escalate matters appropriately
- Demonstrated ability to influence colleagues and communicate key concepts
- Experience or involvement in project management
- Excellent verbal and written communication skills
- Strong attention to detail
Skills
- Risk management
- Compliance
- Financial planning
- Wealth management
- Stockbroking
- Investment advice
- Project management
- Coaching and training
- Regulatory reporting
Experience Level
- Recent graduate
- 1-2 years of experience in financial planning, wealth management, stockbroking, investment advice, risk, or compliance
Education Level
- Bachelor’s degree
Benefits
- Daily breakfast options
- Purchased annual leave
- Regular wellness initiatives
- Active social and sporting calendar
About the Company
- Diversified financial services business providing wealth management, funds management, corporate advisory, institutional sales, trading, and research
- Values include Client First, Integrity, Growth & Innovation, Respect & Inclusion, and Collaboration
Equal Opportunity
- Equal opportunity employer committed to inclusion and diversity
- Actively invites applications from First Nations People, individuals with disabilities, and people from culturally and linguistically diverse backgrounds