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About the Role
This 12-month, fixed-term, part-time role (approximately 4 days/22.8 hours per week) in E&P’s Sydney office involves supporting the Risk & Compliance team, ensuring smooth daily operations, and working independently and as part of a dynamic team. It offers exposure to Wealth, Institutional Equities, Research, and Corporate Advisory, ideal for enhancing skills and progressing a career in Financial Services.
Responsibilities
- Providing ongoing compliance support and advice to representatives and stakeholders to ensure continued compliance with relevant requirements.
- Enhancing the Line 2 supervision and monitoring framework.
- Conducting ongoing and thematic supervision and monitoring activities, particularly in relation to AML/CTF and Privacy.
- Ongoing review and improvement of policies and procedures.
- Preparing reports for the Board and various Risk/Compliance Committees or senior management.
- Supporting divisional Risk and Control Self-Assessments.
- Participating in project work, ensuring alignment with regulatory and compliance requirements.
- Monitoring, assessing, and assisting in rolling out regulatory change.
- Assisting with licensing registrations, renewals, and submissions.
- Assisting with regulatory notifications and requests.
- Assessing and investigating potential incidents and breaches.
- Designing and delivering relevant training to staff across the group.
Requirements
- Ability to manage competing priorities while maintaining high attention to detail, critical thinking, initiative, and resilience.
- Strong verbal and written communication skills are essential for liaising with various stakeholders and dealing with technical and complex matters.
- Ideally have 5+ years’ experience in risk and/or compliance within the financial services sector.
- Hold a bachelor’s degree of any discipline (law, commerce, finance and/or accounting is preferred).
Skills
- AML/CTF
- Privacy
- Risk Management
- Compliance
- Financial Services
- Attention to Detail
- Critical Thinking
- Initiative
- Resilience
- Verbal Communication
- Written Communication
Location
- Sydney
Work Type
- Fixed-term
- Part-time
Experience Level
- 5+ years’ experience in risk and/or compliance within the financial services sector
Education Level
- Bachelor's degree of any discipline (law, commerce, finance and/or accounting is preferred)
Benefits
- Daily breakfast options
- Purchased annual leave
- Regular wellness initiatives
- Active social and sporting calendar
About the Company
- E&P Financial Group (E&P) is a diversified financial services business servicing clients across wealth management, funds management, corporate advisory, institutional sales and trading, and research.
- We provide high quality, market-leading financial advice for individuals, families, for-purpose organisations, corporates, and institutions.
- Our culture is guided by our values of Client First, Integrity, Growth & Innovation, Respect & Inclusion, and Collaboration.
- We believe that everyone should be able to be their authentic self at work and to focus on the things that matter to you.
- Our commitment to your career and development is genuine, and our established structure supports the learning experience you expect.
- Working with us means you get to learn from and collaborate with some of the best in the business.
Equal Opportunity
- We take our responsibilities to our people, clients and community seriously and as an equal opportunity employer, value inclusion and diversity.
- We are dedicated to fostering a diverse workforce and actively invite applications from First Nations People, individuals with disabilities, and people from culturally and linguistically diverse backgrounds.