Regulatory Risk & Compliance Specialist

Betashares Capital; Sydney; On-site; AUD 85,000 - 120,000; Full time

Job summary

Betashares Capital is seeking a Risk and Compliance Associate to support the operation of the firm's risk and compliance frameworks. Working within the Legal, Risk and Compliance team and reporting to the Senior Compliance Manager, the role contributes to monitoring, assurance, incident management and regulatory reporting.

The role collaborates with stakeholders across the business to review product and marketing materials and implement improvements to controls.

Qualifications

• Minimum 3 years in risk, compliance, legal or governance in financial services.
• Ability to apply regulatory requirements to practical business situations.
• Experience with compliance monitoring, controls, incident management or regulatory reporting.
• Clear written communication and strong attention to detail.
• Ability to manage competing priorities and collaborate with stakeholders.

Responsibilities

• Review marketing materials and product communications against regulations and internal standards.
• Complete compliance monitoring and assurance activities and document findings.
• Support incident management, investigations and remediation of breaches.
• Maintain records of obligations, incidents, controls and assurance in systems.
• Prepare risk and compliance reports for senior management and governance committees.
• Coordinate inputs to regulatory reports and submissions.
• Track regulatory developments and assess implications for products and processes.
• Provide practical compliance guidance and support awareness training.
• Identify and contribute to improvements in compliance processes and reporting.

Skills

Risk management

Compliance

Regulatory knowledge

Written communication

Stakeholder collaboration

Job description

Betashares Capital is seeking a Risk and Compliance Associate to support the operation of the firm's risk and compliance frameworks. Working within the Legal, Risk and Compliance team and reporting to the Senior Compliance Manager, the role contributes to monitoring, assurance, incident management and regulatory reporting.

The role collaborates with stakeholders across the business to review product and marketing materials and implement improvements to controls.