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Manager – Risk and Compliance

About the role

Working as a key member of Risk and Compliance aligned to the Wealth Management, Corporate Advisory, Institutional Equities and Research businesses, you will work closely with Line 1 and representatives to promote and enhance Evans Dixon’s culture of compliance and robust risk management framework.

This role encompasses providing ongoing compliance advice to representatives in addition to a strong focus on supervision and monitoring to ensure Evans Dixon continues to identify and manage its risks in an evolving financial services landscape.

Key responsibilities

  • Providing ongoing compliance support and advice to representatives and stakeholders to ensure continued compliance with the relevant requirements, with a focus on markets. 
  • Enhancing the Line 2 supervision and monitoring framework
  • Conducting ongoing and thematic supervision and monitoring activities such as reviewing financial advice and markets surveillance
  • Participating in project work at a senior stakeholder level 
  • Ongoing review and improvement of policies and procedures
  • Monitoring, assessing and assisting in rolling out regulatory change 
  • Assisting with regulatory notifications and requests
  • Assessing and investigating potential incidents and breaches
  • Complaints handling
  • Delivering relevant training to staff across the group

Your Skills and Experience 

  • Bachelor’s degree of any discipline (preferably law, commerce and/or finance related) and RG 146 (Financial Planning) 
  • At least 3 years’ experience in risk and/or compliance within the financial services industry, with a strong preference for stockbroking experience and markets compliance. 
  • Strong understanding of the current regulatory framework relating to retail financial advice, market participants, and research, including but not limited to Chapter 7 of the Corporations Act, ASIC Market Integrity Rules and ASX/Chi-X Operating Rules.
  • High level of initiative, resilience and sense of urgency to exercise sound judgement to resolve matters in a timely manner
  • Strong project management, stakeholder management and influencing skills
  • Excellent analytical and research skills with a proven ability to solve problems by thinking outside the box
  • Able to apply critical thinking in evaluating different business scenarios 
  • Excellent verbal and written communications skills and strong attention to detail

Benefits

  • Ongoing support, training and mentoring from senior team members
  • Attractive salary package with 6 monthly 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 and 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 $20 billion in funds under advice. 

In Corporate and Institutional, we are an adviser to many leading Australian institutions through the provision of research, corporate advisory, and both equity and debt capital market services. In Funds Management, we manage more than $6.8 billion of investments across a diverse range of asset classes. The firm has over 550 staff operating across 8 offices located in Melbourne, Sydney Canberra, Brisbane and New Jersey.

Apply now

Location Company Number of positions
North Sydney Evans Dixon 1
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