Shape the Future of Financial Services

You will ensure that our Corporate Authorised Representatives (CARs) and Authorised Representatives (ARs) operate within regulatory guidelines while upholding the highest standards of compliance, governance, and risk management.

Your expertise will be instrumental in aligning our business operations with ASIC regulations, fostering a culture of integrity, and enabling sustainable growth for our clients and partners. As a Responsible Manager at KOSEC Group, you will oversee and maintain the compliance framework.

Your expertise will ensure that we uphold the highest standards of regulatory adherence, enabling clients to achieve sustainable growth while ensuring our operations remain compliant with industry regulations.

Key Responsibilities:

• Oversee the operational integrity of financial services provided under the AFSL, ensuring that all financial products and advisory services comply with legal and regulatory requirements.
• Develop and implement compliance policies, risk management frameworks, and governance procedures in alignment with Australian financial regulations.
• Provide strategic leadership and training to ensure company-wide understanding and adherence to compliance obligations.
• Maintain direct communication with ASIC and other regulatory authorities, addressing inquiries, audits, and reporting requirements.
• Monitor and assess regulatory changes, advising executive leadership on the implications and necessary adjustments to business strategies.

What We’re Looking For:

• Extensive experience in financial services and AFSL compliance with a strong understanding of industry regulations.
• Proven ability to develop and implement effective compliance strategies in a highly regulated financial environment.
• Strong leadership and decision-making skills to guide teams and uphold compliance standards.
• Experience in working with regulatory authorities, audits, and reporting frameworks.

This role involves working closely with cross-functional teams to ensure company-wide adherence to Australian financial regulations and mitigate potential compliance risks.

Key Responsibilities:

• Develop, implement, and oversee compliance programs, ensuring alignment with industry standards and regulations.
• Identify, assess, and manage compliance risks across all business operations, proactively addressing potential regulatory breaches.
• Conduct compliance training sessions for employees, promoting a strong culture of regulatory awareness.
• Work with internal stakeholders to develop and maintain risk mitigation strategies.
• Maintain strong relationships with ASIC, AFCA, and other regulatory bodies, staying up to date with legislative changes and industry best practices.

What We’re Looking For:

• Demonstrated experience in compliance, risk management, or regulatory roles within the financial services industry.
• Strong knowledge of Australian financial laws, including AFSL regulations, ASIC guidelines, and corporate governance best practices.
• Exceptional analytical, communication, and problem-solving skills.
• Ability to implement compliance initiatives that support business growth while maintaining full regulatory compliance.

As a key member of the Prime Broking division, you will leverage your expertise to develop and manage strategic partnerships, ensuring client satisfaction and fostering long-term business growth.

Key Responsibilities:

• Develop and maintain strong relationships with institutional clients, hedge funds, and financial institutions.
• Work collaboratively with internal trading, risk management, and research teams to provide tailored execution, clearing, and settlement services to clients.
• Identify business development opportunities, building a pipeline of potential clients and implementing strategic client acquisition plans.
• Represent KOSEC Group at global financial conferences, industry forums, and investor meetings, strengthening our presence in the institutional brokerage market.
• Monitor market trends, competitor activity, and client needs to develop innovative solutions that enhance client relationships and service offerings.

What We’re Looking For:

• Extensive experience in relationship management within prime broking, institutional sales, or trading.
• Proven ability to expand institutional client portfolios and drive revenue growth through strategic partnerships.
• Deep understanding of prime brokerage services, risk management, and capital markets.
• Excellent communication, negotiation, and client service skills.

This role requires a deep understanding of equity markets, options trading, and structured financial products.

Key Responsibilities:

• Execute high-value trades in equities, options, futures, and structured derivatives, ensuring best execution across multiple exchanges.
• Utilise quantitative models, market trends, and economic indicators to inform trading decisions and mitigate risk.
• Collaborate with quantitative analysts, portfolio managers, and risk specialists to develop innovative trading strategies.
• Manage risk exposure, leverage positions, and capital allocation within defined trading limits.
• Continuously monitor market conditions, regulatory changes, and geopolitical factors that could impact trading activities.

What We’re Looking For:

• Proven experience in equities and derivatives trading, with a track record of profitability and risk management.
• Strong background in technical and fundamental analysis.
• Expertise in trading platforms, algorithmic strategies, and market liquidity assessment.

This role is ideal for a professional with a deep understanding of investment markets, asset allocation strategies, tax planning, and estate structuring.

Key Responsibilities:

• Develop and implement tailored wealth management strategies, integrating multi-asset investments, tax-efficient solutions, and estate planning.
• Construct and manage diverse investment portfolios, incorporating equities, fixed income, alternative assets, private equity, and structured products.
• Build and maintain long-term relationships with UHNWIs, family offices, corporate executives, and institutional clients, delivering personalised financial solutions.
• Provide expert guidance on succession planning, philanthropic strategies, and capital preservation, ensuring long-term financial sustainability for clients.
• Stay informed on global financial markets, regulatory developments, and tax structures, enabling clients to capitalise on emerging investment opportunities.
• Work closely with internal investment teams to deliver high-quality financial research, risk assessment, and portfolio optimisation strategies.

What We’re Looking For:

• Extensive experience in wealth management, private banking, or financial advisory, with a strong track record of managing UHNW and institutional client portfolios.
• Deep knowledge of investment markets, portfolio construction, risk management, and alternative asset classes.
• Proven expertise in tax planning, estate structuring, and intergenerational wealth transfer.
• Strong ability to cultivate and manage relationships with high-profile clients and key financial decision-makers.
• Excellent communication, negotiation, and problem-solving skills to deliver bespoke financial solutions that align with client objectives.
• A results-driven mindset with the ability to provide strategic wealth guidance and drive financial outcomes for clients.