Senior Risk & Compliance Associate - Advice & TradingWorking as a key member of Risk and Compliance aligned to the Corporate Advisory, Markets,and Research, the Senior Associate will work closely with Line 1 and representatives topromote and enhance Yoschine Consulting's culture of compliance and robust risk managementframework.
This important role encompasses providing ongoing compliance advice to representatives inaddition to a strong focus on supervision and monitoring to ensure Yoschine Consultingcontinues to identify and manage its risks in an evolving financial services landscape.
Key responsibilities:Conducting ongoing and thematic Line 2 supervision and monitoring activities such asreviewing financial advice and trade surveillanceProviding ongoing compliance support and advice to representatives and stakeholders toensure continued compliance with the relevant requirementsOngoing review and improvement of policies and proceduresMonitoring, assessing and assisting in rolling out regulatory changeAssisting with regulatory notifications and requestsProviding relevant training to staff across the groupAssessing and investigating potential incidents and breachesPreparing reports for risk and compliance committees, and senior managementSkill required:Bachelor's degree of any discipline (preferably law, commerce and/or finance related)and RG 146 (Financial Planning)At least 3 years' experience in compliance, preferably in stockbroking, paraplanningand/or financial planningStrong understanding of the current regulatory framework relating to retail financialadvice, market participants, and research, including but not limited to Chapter 7 ofthe Corporations Act, ASIC Market Integrity Rules and ASX/Chi-X Operating Rules.Previous experience with conducting supervision and monitoringHigh level of initiative, resilience and sense of urgency to exercise sound judgementto resolve matters in a timely manner, both individually and in a team environmentStrong project management, stakeholder management and influencing skillsExcellent verbal and written communications skills and strong attention to detailCompany Benefits:Attractive salary package and bonus structuredContinuous internal training structured by industry leading professionalsOne-on-one mentoring with senior staff to develop your skill setA professional and friendly working environmentRegular social events sponsored by Yoschine ConsultingModern offices in a convenient locationA free healthy breakfast each morningGenerous annual fitness rebateAccess to discounted financial services for you and your familyYoschine Consulting (Yoschine Consulting Pty Ltd ABN: 36 626 293 132) is a young, dedicatedand fast-growing Australian company, mainly focusing on integrated business consultingservices.At the same time, we seek to provide high-quality market leading financialconsulting services for private clients, institutional clients and enterprises. The expertsin our term are highly educated and experienced, studied and served in the industry for atleast five years. We assist our clients on overall business operations, strategic planning,IT solution, financial portfolio investment, property investment, fund projects, etc.
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