Working as a key member of Risk and Compliance aligned to the Wealth Management, Corporate Advisory, Institutional Equities and Research businesses, the Manager will work closely with Line 1 and representatives to promote and enhance E&P’s culture of compliance and robust risk management framework.
This role encompasses providing ongoing compliance advice to representatives in addition to a strong focus on supervision and monitoring to ensure E&P continues to identify and manage its risks in an evolving financial services landscape.
- Providing ongoing compliance support and advice to representatives and stakeholders to ensure continued compliance with the relevant requirements, with a focus on markets.
- Enhancing the Line 2 supervision and monitoring framework
- Conducting ongoing and thematic supervision and monitoring activities such as reviewing financial advice and markets surveillance
- Participating in project work at a senior stakeholder level
- Ongoing review and improvement of policies and procedures
- Monitoring, assessing and assisting in rolling out regulatory change
- Assisting with regulatory notifications and requests
- Assessing and investigating potential incidents and breaches
- Complaints handling
- Delivering relevant training to staff across the group
Key Skills and Experience
- Bachelor’s degree of any discipline (preferably law, commerce and/or finance related) and RG 146 (Financial Planning)
- At least 3 years’ experience in risk and/or compliance within the financial services industry, with a strong preference for stockbroking experience and markets compliance.
- 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.
- High level of initiative, resilience and sense of urgency to exercise sound judgement to resolve matters in a timely manner
- Strong project management, stakeholder management and influencing skills
- Excellent analytical and research skills with a proven ability to solve problems by thinking outside the box
- Able to apply critical thinking in evaluating different business scenarios
- 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
- A professional and friendly working environment
- Regular social events sponsored by E&P
- Modern offices in a convenient location
- A free healthy breakfast each morning
- Generous annual fitness rebate
E&P Financial Group is an ASX-listed financial services group (EP1). Operating through the E&P Capital, E&P Funds, Evans and Partners and Dixon Advisory brands, the Group provide a broad range of financial services including Wealth Advice, Corporate and Institutional and Funds Management. The firm has over 465 staff operating across seven offices located in Melbourne, Sydney, Canberra, Brisbane and New Jersey.