Branch Risk Associate - Private Wealth Management

Anton Murray Consulting; Sydney; On-site; AUD 90,000 - 120,000; Full time

Job summary

Anton Murray Consulting invites applications for a Branch Risk Analyst/Associate on a 12-month contract, with potential extension, based in Melbourne or Sydney. You will identify and manage risks across investment advice, product disclosures and regulatory requirements, collaborating with advisors and management.

The ideal candidate has 3+ years in Risk Management or Compliance within financial services, knowledge of wealth management, and strong analytical and regulatory knowledge.

Qualifications

• 3+ years in Risk Management/Compliance or financial markets experience.
• Knowledge of Australian wealth management and regulatory requirements.
• Strong analytical and organizational skills.

Responsibilities

• Develop strong working relationships with the business and help maintain risk culture.
• Assist State Managers in supervision and escalate exceptions.
• Provide guidance to advisers on regulatory and risk obligations.
• Report key risks and performance to management on a regular basis.
• Oversee surveillance monitoring quality assurance.
• Collaborate across the business to support advisers and clients.
• Contribute to management information for the Supervision Committee.

Skills

Risk Management

Compliance

Regulatory Knowledge

Analytical Mindset

Education

University Degree in Finance/Business/Economics

Job description

Leading International Wealth Management firm seeking a Branch Risk Analyst or Associate for an initial 12 month contract with the view to extend in either their Melbourne or Sydney office.

The ideal profile will have 3+ years Risk Management/Compliance experience within financial services – ideally wealth management / stockbroking

Position Summary:

The key function of the role is to identify, elevate and manage risks through carrying out supervision and surveillance monitoring relating to investment advice and suitability, product and risk disclosures, and other product specific requirements.

Key Responsibilities:

• Develop strong working relationships with the business and play a key role maintaining the risk culture.
• Assist State Managers in supervision across the business and manage exceptions and escalations.
• Providing guidance to advisers relating to their regulatory and risk obligations.
• Report key risks and performance to management on a regular basis.
• Assist to oversee and quality assurance review of surveillance monitoring.
• Collaborate across the business and other functions to support advisors and clients.
• Contribute to and assist with management information material for the Supervision Committee.

Desired Qualifications/Experience:

• Knowledge of Australian wealth management, investment advice and associated regulatory requirements.
• Knowledge of Australian and international financial markets and products including knowledge of equities, listed and OTC derivatives, fixed income, managed/hedge funds and foreign exchange products.
• High attention to detail and an analytical mindset.
• Strong organisational skills.
• University Degree qualified in Finance, Business or Economics preferable but not essential.
• Recognised industry qualifications preferred but not essential.
• 3+ years in Risk Management/Compliance or financial markets experience.
• Experience within wealth management, banking highly desirable.

NO WORKING HOLIDAY VISA’S WILL BE ACCEPTED DUE TO THE LENGTH OF THE CONTRACT.