Risk And Compliance Officer

Mercer

Sydney, Australia
On-site
Financial advice and investment regulatory obligations
Suitability, best interest obligations, disclosure
Risk and compliance input into investment decisions
The role focuses on interpretation and application of regulatory obligations, advice standards, and investment-related requirements, helping the business manage regulatory risk while delivering positive customer outcomes

Job Summary

  • The role focuses on interpretation and application of regulatory obligations, advice standards, and investment-related requirements, helping the business manage regulatory risk while delivering positive customer outcomes.
  • Provide subject-matter advice on financial advice and investment regulatory obligations, including interpretation and practical application.
  • We foster a vibrant and inclusive culture where you can work with talented colleagues to create new solutions and have impact for colleagues, clients and communities.

Matching Summary

The role focuses on interpretation and application of regulatory obligations, advice standards, and investment-related requirements, helping the business manage regulatory risk while delivering positive customer outcomes.

Skills & Requirements

Must-have

  • Financial advice and investment regulatory obligations
  • Suitability, best interest obligations, disclosure
  • Risk and compliance input into investment decisions
  • Technical advice questions escalation point
  • Breaches, incidents, and complaints support

Nice-to-have

  • Regulatory and operational compliance experience
  • Funds management, advice, or wealth management background

Key Requirements

  • University Degree in Law, Commerce, or Finance
  • Demonstrated experience in financial services or law firm
  • Strong understanding of financial markets, advice, and investment management
  • Proficiency in Excel and Word

Work Rights

Approval to work in Australia required

Tailored Resume

Cover Letter