As a key member of the Risk & Advice (Line 1) team, you will work closely with Advisers, Associates and Risk & Compliance (Line 2) to promote and enhance E&P Financial Group’s culture of compliance and robust risk management framework.
This important role encompasses providing ongoing guidance to representatives in addition to a strong focus on coaching and training to ensure E&P Financial Group continues to identify and manage its risks in an evolving financial services landscape.
A typical day may include:
- Conducting ongoing and thematic Line 1 supervision and reviews of both investment and strategic advice
- Helping Advisers and Associates in the provision of advice with guidance and feedback
- Facilitate the management of regulatory processes through technology systems
- Coaching and training of advisers and associates
- Assisting with the preparation of reports for risk and compliance committees, and senior management
- Assisting Risk & Compliance (Line 2) with investigations into incidents and complaints
Our environment can be fast-paced, and you’ll often find you’re handling multiple projects and standard duties at any given time, so your ability to manage competing priorities whilst maintaining high attention to detail, critical thinking, initiative and resilience is crucial. As you will be liaising with a variety of stakeholders and dealing with technical and complex matters, strong verbal and written communication skills are essential. You will have 1-3 years’ relevant experience in risk and/or compliance, with a strong preference for wealth management and stockbroking. You also hold a bachelor’s degree of any discipline and RG146 (Financial Planning), or equivalent.
