Job Description

Position Title
Risk &Compliance Officer

Company Overview
A leading investment and wealth management firm with over $47 billion in assets under advice. Offers tailored investment solutions to individuals, institutions, corporates, and charities, backed by a global financial group.

Role Overview
Reporting to the Executive Manager, you’ll support over 200 investment advisers and 50 financial planners in delivering compliant, high-quality financial product advice.

  • Conduct adviser reviews under internal compliance programs
  • Review advice documents (SOAs, ROAs) across equities, derivatives, and managed funds
  • Provide regulatory guidance and support practice improvements
  • Deliver training sessions and seminars on advice and compliance topics

Skills & Experience

  • 3+ years in financial services
  • Strong understanding of financial advice regulat...

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