As a Risk & Compliance Officer , you will support the Executive Manager and the broader business to ensure the delivery of high-quality financial product advice. The role has a strong review and advisory focus, involving the assessment of adviser conduct, advice documentation and day-to-day regulatory compliance. You will work closely with compliance peers, business leaders, advisers and financial planners to foster a solid and proactive compliance culture.

Key Responsibilities
Conduct periodic adviser reviews in line with the internal monitoring and supervision program.
Assess advice documentation, including SOAs and ROAs, across areas such as equities, exchange-traded derivatives and managed funds.
Partner with advisers and support staff to interpret regulatory obligations, implement process improvements and resolve ad hoc compliance queries.
Deliver training through seminars, small group sessions and one-on-one coaching on topics including advice preparation, file-noting standards and regulatory developments.
Highly motivated,



confident and able to work autonomously.
Strong understanding of regulatory requirements for financial product advice to both wholesale and retail clients.
Genuine interest in public markets, investment products and wealth management.
Excellent analytical skills, with solid written and verbal communication abilities.

Our client is a leading Australian investment and wealth management organisation with a national presence and a substantial portfolio of assets under advice. The business delivers tailored investment solutions, financial planning and corporate advisory services to a broad range of clients, including individuals, institutions, corporates and not-for-profit organisations. Its team includes private client advisers, institutional sales and trading specialists, research analysts and corporate finance specialists.
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📌 Risk & Compliance Officer Wealth & Financial Advice City Of Sydney
🏢 JS Careers
📍 City of Sydney