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Dispute Resolution Manager

Job Seekers Australia Risk & Compliance Financial Services

Job Summary

  • North Sydney
  • Contract
  • BBBH770588
  • Jan 13, 2021
  • $100k - $120k
Job Description

Join a global wealth management organisation on role as a Dispute Resolution Manager, created as result of strong business growth.

Join a global wealth management organisation on role as a Dispute Resolution Manager, created as result of strong business growth.

Reporting to the Head of Risk & Compliance, you will be a key member of the wealth management risk team.


You will work closely with Line 1 team and stakeholders across the group to promote and enhance compliance risk management framework

Providing ongoing compliance advice to stakeholders in addition to a strong focus on supervision and monitoring to ensure the group continues to identify and manage its risks in an evolving financial services landscape.

  • Providing ongoing compliance support and advice to stakeholders to ensure continued compliance with the relevant requirements, with a focus on markets.
  • Enhancing the Line 2 supervision and monitoring framework
  • Conducting ongoing and thematic supervision and monitoring activities such as reviewing financial advice and markets surveillance
  • Participating in project work at a senior stakeholder level
  • Review and improvement of policies and procedures
  • Monitoring, assessing, and assisting in rolling out regulatory change
  • Assisting with regulatory notifications and requests
  • Monitoring and investigating potential incidents and breaches
  • Assisting on relevant training to staff across the group


  • 3 experience in risk and/or compliance within the financial services industry, with a strong preference for stockbroking experience and markets compliance.
  • Strong understanding of the current regulatory framework relating to retail financial advice, market participants, and research, including but not limited to Chapter 7 of the Corporations Act, ASIC Market Integrity Rules and ASX/Chi-X Operating Rules.
  • Strong project management, stakeholder management and influencing skills
  • Excellent analytical and research skills with a proven ability to solve problems by thinking outside the box
  • Outcome focused, proactive with great communication skills
  • Ability to thrive in a fast-paced work environment

If you are interested in this position, please APPLY NOW with your updated resume. Alternatively, you can send your resume to TALITA SOUSA at or call me on 8986 3136 for a confidential discussion.


Consultant Details

Consultant Details

Talita Sousa
  • Senior Consultant - Risk & Compliance
  • +61 (0)2 8986 3136