Senior Risk & Compliance Associate - Advice & Trading

Working as a key member of Risk and Compliance aligned to the Corporate Advisory, Markets,and Research, the Senior Associate will work closely with Line 1 and representatives to promote and enhance Yoschine Consulting'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 Yoschine Consulting 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 Perks:

- Attractive salary package and bonus structured
- 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 Yoschine Consulting
- 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

Yoschine Consulting (Yoschine Consulting Pty Ltd ABN: 36 626 293 132) is a young, dedicated and fast-growing Australian company, mainly focusing on integrated business consulting services.At the same time, we seek to provide high-quality market leading financial consulting services for private clients, institutional clients and enterprises. The experts in our term are highly educated and experienced, studied and served in the industry for at least five years. We assist our clients on overall business operations, strategic planning, IT solution, financial portfolio investment, property investment, fund projects, etc.

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📌 Senior Risk (Sydney)
🏢 Yoschine Consulting Group
📍 Sydney