An established Australian financial services group operating across four connected business segments: Private Wealth, Financial Planning, a general advice publication and SMSF Administration and Accounting.
The Opportunity
Looking for the right person to manage their compliance function within an advice environment within an AFSL. They hold their own AFSL and work with external compliance and legal consultants for complex, specialist, or high-risk matters.
The Functions
Depending on your skills and experience, you will:
- Own and maintain the compliance framework
- Build and deliver compliance training
- Run file reviews and provide constructive feedback to advisers
- Coordinate work with external compliance advisors
They are not looking for a superhero. They want the right person who can grow in the role, achieve key functions, and still leverage external resources for complex areas. They are open to candidates from Junior-mid levels who can grow into the role or deliver key functions with support.
What is valued
- Clear and concise writing – policies that read like English, not legalese
- Comfort in dealing with advisers, planners and leadership
- A practical implementer
- Curious about the business – interested in how advice is given, portfolios constructed and SMSFs administered
- Self-starter who can build and grow the function
If you’re a compliance professional who wants to grow and have real ownership without being expected to cover every specialist function alone, we want to hear from you.
