Senior Risk & Compliance Associate - Advice & Trading

Job Description

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 topromote and enhance Yoschine Consulting’s culture of compliance and robust risk managementframework. This important role encompasses providing ongoing compliance advice to representatives inaddition to a strong focus on supervision and monitoring to ensure Yoschine Consultingcontinues 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 asreviewing financial advice and trade surveillance Providing ongoing compliance support and advice to representatives and stakeholders toensure 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, paraplanningand/or financial planning Strong understanding of the current regulatory framework relating to retail financialadvice, market participants, and research, including but not limited to Chapter 7 ofthe 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 judgementto 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 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, dedicatedand fast-growing Australian company, mainly focusing on integrated business consultingservices.At the same time, we seek to provide high-quality market leading financialconsulting services for private clients, institutional clients and enterprises. The expertsin our term are highly educated and experienced, studied and served in the industry for atleast five years. We assist our clients on overall business operations, strategic planning,IT solution, financial portfolio investment, property investment, fund projects, etc. Apply now Location Company Number of positions Sydney Yoschine Consulting 1 Positionapplying for Name Email Bestdescribes your right to work in Australia? Howdid you hear about us? Pleasespecify... Uploadyour resume One file only.2 MBlimit.Allowed types: pdf doc docx. One file only.2 MBlimit.Allowed types: pdf doc docx. Uploadacamedic transcript One file only.2 MBlimit.Allowed types: pdf doc docx. #J-18808-Ljbffr