Senior Risk & Compliance Associate - Advice & Trading

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.

Key responsibilities:

  • 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

 Skill required:

  • 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

Company Benefits:

  • 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.

 

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Location Company Number of positions
Melbourne Evans Dixon 1
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