Risk and Compliance Associate

The Risk and Compliance Associate supports the effective operation of Betashares’ risk and compliance frameworks, helping the business meet regulatory obligations and maintain effective controls. Working within the Legal, Risk and Compliance team and reporting to the Senior Compliance Manager, the role contributes to monitoring, assurance, incident management and regulatory reporting. 

The role works with stakeholders across the business to review product and marketing communications, respond to compliance matters and identify process improvements. It offers exposure to financial services regulation, governance and risk management, with opportunities to build judgement and take ownership of defined compliance activities.

Role Responsibilities  

• Review marketing materials, product collateral and business communications against regulatory requirements and internal standards, identifying issues for resolution. 
• Complete compliance monitoring and assurance activities, document findings and follow up agreed actions. 
• Support the identification, assessment, escalation, investigation and remediation of incidents and potential breaches. 
• Maintain accurate and timely records of obligations, incidents, controls and assurance activities in risk and compliance systems. 
• Prepare risk and compliance reports for senior management and governance committees, highlighting relevant findings and actions. 
• Coordinate inputs to regulatory reports, enquiries, notifications and submissions, supporting accurate and timely responses. 
• Track regulatory developments and help assess implications for products, services and business processes. 
• Work with business stakeholders to provide practical compliance guidance and support awareness and training initiatives. 
• Identify and contribute to improvements in compliance processes, controls and reporting efficiency. 

Key skills and experience  

Must-haves 

• At least 3 years’ experience in risk, compliance, legal or governance within financial services, or equivalent experience performing comparable activities. 
• Ability to interpret and apply regulatory requirements, policies and procedures to practical business situations. 
• Experience supporting compliance monitoring, controls, incident management or regulatory reporting. 
• Clear written communication and sound attention to detail, including drafting accurate records and reports. 
• Ability to manage competing priorities, follow through on actions and collaborate with business stakeholders. 

Nice-to-haves 

• Experience in funds management or investment products. 
• Experience improving or automating compliance data collection or reporting.