The Role

Working as a key member of Risk and Compliance, you will be responsible for ensuring group wide risks across E&P are appropriately assessed and managed.

This senior role provides ongoing risk and compliance advice to the group on a range of core compliance areas including but not limited to licensing, governance, AML/CTF, privacy, conflicts of interest, information barriers and fraud. This role has a strong focus on enhancing E&P’s risk management framework and conducting risk self assessments.

Key Responsibilities

  • enhancing and implementing the risk self assessment framework
  • providing ongoing compliance support and advice to representatives and stakeholders to ensure continued compliance with relevant requirements
  • ongoing review and improvement of policies and procedures
  • assisting in the roll out of a new GRC Risk Management system
  • monitoring and assessing regulatory developments, and assisting with implementation of any required business changes
  • assisting with regulatory notifications and requests
  • assisting with licensing registrations, renewals and submissions
  • 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

Key Skills and Experience

  • Bachelor’s degree in law, finance, commerce and/or accounting
  • at least 5 years’ experience in risk and/or compliance within the financial services industry
  • strong understanding of the current regulatory framework facing financial services providers including but not limited to AML/CTF, Privacy, FATCA/CRS, and conflicts of interest management
  • demonstrated ability conducting risk self assessments and enhancing risk management frameworks in line with ISO 31000:2009 Risk Management Standard
  • previous experience in implementation and/or utilisation of GRC Risk Management systems
  • previous experience conducting supervision and monitoring activities
  • 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
  • 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

The Company

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 provides a broad range of services including Wealth Advice, Corporate and Institutional and Funds Management. In Wealth Advice, we assist more than 9,200 clients, representing over $20 billion in funds under advice.

Apply Now

Position Location Company No. of Positions
Risk and Compliance Manager Sydney E&P Financial Group 1

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