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Senior Associate/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.

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


  • 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.

Apply now

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