Job Description

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.

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Key Responsibilities

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- Conduct periodic adviser reviews in line with the internal monitoring and supervision program.
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- Assess advice documentation, including SOAs and ROAs, across areas such as equities, exchange-traded derivatives and managed funds.
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- Partner with advisers and support staff to interpret regulatory obligations, implement process improvements and resolve ad hoc compliance queries.
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- Deliver training through seminars, small group sessions and one-on-one coaching on topics including advice preparation, file-noting standards and regulatory developments.
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- Highly motivated, confident and able to work autonomously.
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- Strong understanding of regulatory requirements for financial product advice to both wholesale and retail clients.
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- Genuine interest in public markets, investment products and wealth management.
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- Excellent analytical skills, with strong written and verbal communication abilities.
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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 professionals.

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📌 Risk & Compliance Officer - Wealth & Financial Advice (New South Wales)
🏢 JS Careers
📍 New South Wales