Working as a key member of Risk and Compliance aligned to the Wealth Management, Corporate Advisory, Markets, and Research, the Senior Associate will work closely with Line 1 and representatives to promote and enhance Evans Dixon’s culture of compliance and robust risk management framework.
This important 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.
- Conducting ongoing and thematic Line 2 supervision and monitoring activities such as reviewing financial advice and trade surveillance
- Providing ongoing compliance support and advice to representatives and stakeholders to ensure continued compliance with the relevant requirements
- Ongoing review and improvement of policies and procedures
- Monitoring, assessing and assisting in rolling out regulatory change
- Assisting with regulatory notifications and requests
- Providing relevant training to staff across the group
- Assessing and investigating potential incidents and breaches
- Preparing reports for risk and compliance committees, and senior management
- Bachelor’s degree of any discipline (preferably law, commerce and/or finance related) and RG 146 (Financial Planning)
- At least 3 years’ experience in compliance, preferably in stockbroking, paraplanning and/or financial planning
- 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.
- Previous experience with conducting supervision and monitoring
- High level of initiative, resilience and sense of urgency to exercise sound judgement to resolve matters in a timely manner, both individually and in a team environment
- Strong project management, stakeholder management and influencing skills
- Excellent verbal and written communications skills and strong attention to detail
- Attractive salary package and bonus structure
- Continuous internal training structured by industry leading professionals
- One-on-one mentoring with senior staff to develop your skill set
- A professional and friendly working environment
- Regular social events sponsored by Evans Dixon
- Modern offices in a convenient location
- A free healthy breakfast each morning
- Generous annual fitness rebate
- Access to discounted financial services for you and your family
About Evans Dixon
Evans Dixon is a leader in wealth management, funds management and capital market advisory services operating through Dixon Advisory, Evans and Partners and Walsh & Company. Together, these well-established and value-driven businesses have more than $20 billion in funds under advice, execution & administration, 600+ staff, 9,000 clients and offices across Melbourne, Sydney, Canberra, Brisbane and New York.
Please send your cover letter, resume and academic transcript to [email protected] Alternatively, click APPLY NOW below.