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.
- 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
- 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.