We are currently recruiting for a Risk and Compliance Advisor to join a leading private wealth organisation based in Sydney.
This is a business-critical role supporting the front office advisory function in Sydney , with a strong focus on embedding risk frameworks, uplifting compliance culture, and enabling advisers to deliver outstanding client outcomes.
Key responsibilities
- Partner with Advisers, Associates and Regional Managers to monitor and manage risks and obligations.
- Conduct independent second-line reviews across client files, transactions and assurance activities.
- Facilitate risk workshops , build and maintain risk registers, and support the ongoing development of risk profiles and controls.
- Lead incident and breach management end-to-end , ensuring timely resolution and reporting.
- Translate policy into practice – operationalise frameworks, educate stakeholders, and ensure adoption across the advisory business.
- Build strong relationships with advisers – influencing, educating, and helping them succeed.
- Balance responsibilities across both Line 2 and Line 1 : while the role has a strong Line 2 focus (oversight, monitoring, challenge), it also encompasses some first-line support, including adviser file reviews, transaction monitoring.
- Provide input into compliance plans, training, awareness campaigns, and assurance activities to strengthen the overall risk culture.
- Engage across risk, legal, compliance, cyber and enterprise risk teams, supporting broader group objectives.
About you
- Strong Line 2 risk and compliance experience within wealth management, with 5+ years across risk, compliance or assurance.
- Wholesale wealth management exposure highly regarded;
- Solid knowledge of advice processes, file reviews and the regulatory environment.
- Strong stakeholder engagement skills – able to educate, influence and manage conflict.
- Excellent analytical, communication and problem-solving skills.
The opportunity
- Work in a role that’s both i ndependent and business-facing , driving real uplift in risk culture.
- Join a supportive leadership team with clear visibility to senior stakeholders.
- Be part of a collaborative environment where you can make a measurable impact.
