Risk & Compliance Assistant – Wealth Management

Written by Anton Murray Consulting Consulting on .

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Location: Sydney

Salary description:

  • $50-100k AUD Equivalent
  • Permanent
  • years of experience

This is a great opportunity to join a leading stockbroker in a junior risk and compliance capacity.


  • Provide guidance to staff to ensure compliance with firm policies and procedures, regulatory and legislative requirements
  • Assist with the co-ordination of client events, seminars, research and company presentations
  • Coordinate Initial Public Offering Bid & Allocation process for the NSW office
  • Coordinate Branch Training Requirements inc. Compliance tracking and follow up
  • Maintain account files and undertake regular follow-up on missing documents
  • Provide administrative support to the Branch Management Team
  • Provide coverage for Branch Administration Assistant, including scanning and mail distribution
  • Assist branch management in the development, and monitor the success of revenue initiatives at all levels from advisers originated to Firm wide projects
  • Assist with on-boarding of new advisers and their clients
  • Comply with ethical standards contained in the Company Code of Conduct.

Skills required:

  • Knowledge of Australian securities regulations and compliance requirements, including ASX Business Rules, Corporations Act and AML
  • At least 2 years experience in the Securities industry
  • Ability to identify risk and minimise potential liabilities to the business
  • Well-developed IT literacy, and analytical skills
  • Knowledge of financial markets fundamentals
  • Detailed understanding of how the organisation fits within the Australian market and global operations.
  • Good understanding of the Private Client business model
  • Strong client service focus
  • Ability to build rapport at all levels
  • Goal-oriented with demonstrated drive and initiative
  • Ability to work under pressure and to tight timeframes within a team

Contact Us in Sydney


Phone:+61 2 8246 8900

Hiring Staff: hire@antonmurray.com

Seeking Work: apply@antonmurray.com

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