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Position Title Risk & Compliance Officer Company Overview A leading investment and wealth management firm with over $47 billion in assets under advice. Offers tailored investment solutions to individuals, institutions, corporates, and charities, backed by a global financial group. Role Overview Reporting to the Executive Manager, you’ll support over 200 investment advisers and 50 financial planners in delivering compliant, high-quality financial product advice. Conduct adviser reviews under internal compliance programs Review advice documents (SOAs, ROAs) across equities, derivatives, and managed funds Provide regulatory guidance and support practice improvements Deliver training sessions and seminars on advice and compliance topics Skills & Experience 3+ years in financial services Strong understanding of financial advice regulations (retail & wholesale) Interest in public markets, stockbroking, and funds management Excellent communication and analytical skills Tertiary qualifications in law, commerce, or finance (highly desirable) Experience in stockbroking, wealth or financial planning (highly desirable) What’s on Offer Competitive salary package Exposure to a national adviser network Professional development and training opportunities Collaborative, high-performance culture Backing of global financial group Click ‘APPLY’ or contact Eoin Reynolds at . We are committed to providing a supportive culture and positively contributing towards creating diverse and inclusive workplaces for our candidates & clients. We invite candidates of all ages, genders, sexual orientation, cultural backgrounds, people with disability, neurodiverse individuals, and Indigenous Australians to apply. #J-18808-Ljbffr

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