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Line 1 Risk & Advice - Wealth Management

About the Role

Working as a key member of the Line 1 function within the Wealth Advice team, you will work closely with Advisers, Analysts, Operations and Line 2 Compliance. This role has a focus on all aspects of the provision of advice and trading services including coaching, training, advice reviews, monitoring, supervision, managing risk and ensuring adequate controls.

Key Responsibilities

  • Enhancing the Line 1 supervision, monitoring and controls framework
  • Conducting pre and post reviews of investment and strategic advice to ensure advice that is in the best interest of the client and compliant with all relevant laws
  • Escalating incidents and issues to appropriate management / teams including Responsible Managers, Line 1 Team Head, Compliance and People and Management
  • Supervising a team of Wealth Advisers and Analysts to ensure appropriate advice
  • Coaching Advisers and Analysts in the provision of advice with real time guidance and feedback
  • Assisting Line 2 with investigations into incidents and complaints
  • Communicating with the relevant office Responsible Manager to ensure appropriate supervision is maintained and responsibilities appropriately delegated
  • Staying informed on any changes to the regulatory environment regarding investment advice or the superannuation sector
  • Involvement in adhoc projects and tasks

Your Skills and Experience

  • Bachelor’s degree of any discipline (preferably commerce, finance or law related) and RG 146
  • 2 - 3 years’ experience in financial planning, wealth management, financial services, margin lending, stockbroking, investment advice, operational risk, financial crime, market risk or compliance within the financial services industry
  • Understanding of the current regulatory framework relating to retail financial advice and market participants, including but not limited to Chapter 7 of the Corporations Act, ASIC Market Integrity Rules and ASX/Chi-X Operating Rules
  • A learning mindset, open to take on challenges, resilience and confidence to take ownership of responsibilities
  • Personable with a high level of initiative and an ability to prioritise workload
  • Excellent analytical and research skills with an ability to solve problems by thinking outside the box
  • Strong verbal and written communications skills and attention to detail

Benefits

  • Ongoing support, training and mentoring from senior team members
  • Attractive salary package and bonus structure
  • Young and vibrant culture & regular social events
  • Commitment to a healthy work environment with a free healthy breakfast provided each morning
  • Generous fitness rebate

About Evans Dixon

Evans Dixon is an ASX-listed financial services group. Operating through the Evans and Partners, Dixon Advisory, Walsh & Company and E&P brands, Evans Dixon provide a broad range of financial services. In Wealth Advice, we assist more than 9,300 clients, representing over $21 billion in funds under advice.

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Location Company Number of positions
Sydney Evans Dixon 1
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One file only. 2 MB limit. Allowed types: pdf, doc, docx.