Manager – Risk & Compliance

Manager – Risk & Compliance (12 month contract – Part Time)

The Company 
 
E&P Financial Group (E&P) is a diversified financial services business, servicing clients across wealth management, funds management, corporate advisory, institutional sales and trading and research. We provide high quality, market leading financial advice for individuals, families, for-purpose organisations, corporates and institutions
  
An unwavering focus on our clients drives everything we do. We help our clients realise their goals. They value our collective expertise that delivers knowledge and insights to help unlock opportunities and drive growth in a constantly changing financial and economic landscape.
  
Our culture is guided by our values of Client First, Integrity, Growth & Innovation, Respect & Inclusion and Collaboration.
  
We believe that everyone should be able to be their authentic self at work and to focus on the things that matter to you. Our commitment to your career and development is genuine, and our established structure supports the learning experience you expect. Working with us means you get to learn from and collaborate with some of the best in the business.
 
The Role 
 
This is a 12-month, fixed-term, part-time role (approximately 4 days/30.4 hours per week).

As a Manager at E&P’s Sydney office, you will play an integral role in supporting the Risk & Compliance team, ensuring the smooth running of daily operations while working both independently and as part of a dynamic team. This is an ideal role for a proactive and motivated individual looking to enhance their skills, gain valuable experience and progress their career within Financial Services.  This role will provide exposure to a broad range of areas such as Wealth, Institutional Equities, Research and Corporate Advisory.

A typical day may include:

• Providing ongoing compliance support and advice to representatives and stakeholders to ensure continued compliance with the relevant requirements
• Enhancing the Line 2 supervision and monitoring framework
• Conducting ongoing and thematic supervision and monitoring activities, particularly in relation to AML/CTF and Privacy
• Ongoing review and improvement of policies and procedures
• Preparing reports for the Board and various Risk/Compliance Committees or senior management
• Supporting divisional Risk and Control Self-Assessments
• Participating in project work, ensuring alignment with regulatory and compliance requirements
• Monitoring, assessing and assisting in rolling out regulatory change
• Assisting with licensing registrations, renewals and submissions
• Assisting with regulatory notifications and requests
• Assessing and investigating potential incidents and breaches
• Designing and delivering relevant training to staff across the group

 
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 ideally have 5+ years’ experience in risk and/or compliance within the financial services sector. You will also hold a bachelor’s degree of any discipline (law, commerce, finance and/or accounting is preferred).
 
Our Benefits

We have a range of benefits that we think you’ll like including daily breakfast options, purchased annual leave, and regular wellness initiatives.  

We know our people work hard, so we have an active social and sporting calendar to ensure the balance of work and social is just right. 

We take our responsibilities to our people, clients and community seriously and as an equal opportunity employer, value inclusion and diversity.  We are dedicated to fostering a diverse workforce and actively invite applications from First Nations People, individuals with disabilities, and people from culturally and linguistically diverse backgrounds.