Branch Risk Associate - Private Wealth Management
- Identify, escalate and manage risks in investment advice and suitability.
- Develop strong working relationships and maintain risk culture across the business.
- Provide guidance to advisers on regulatory and risk obligations.
Melbourne, Sydney
Wealth Management
Contract or Temporary
A leading international wealth management firm is 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, escalate 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.
- Data analytics (Power BI, Python, etc.) skills desirable.
- 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.
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