Compliance Manager

About us

Bettersource is a specialist recruitment partner connecting high-calibre talent with leading organisations across Australia and New Zealand.

About the client

Our client is a privately-owned financial services firm with a proud history of delivering investment advice and strategic solutions to clients across Australia. With a strong foundation in equities wealth management and superannuation our client offers tailored financial strategies that empower individuals to take control of their wealth.

About the role

• Own the companys compliance framework across the AFSL and the SMSF administration business ensuring it stays current with regulatory change.
• Draft review and refresh policies procedures and registers in plain English that advisers and staff will actually read and use.
• Maintain the breach register conflicts register gifts and benefits register and incident log ensuring root cause analysis is documented and lessons fed back into the framework.
• Coordinate the annual compliance plan attestations and licence obligations working with our external compliance advisory firms where specialist input is needed.
• Act as a trusted point of contact for advisers planners and the companys Report team on day to day compliance questions.
• Sit in on adviser meetings sales meetings and investment committees where appropriate to spot issues early.
• Build and deliver the companys compliance training program including induction ongoing CPD relevant content and targeted refreshers based on observed risks.
• Act as the companys primary liaison with our external compliance advisory firms across AFSL AML/CTF SMSF and any specialist matters.
• Maintain AFSL obligations including those under the Corporations Act RG 104 RG 105 RG 146 RG 175 and related guidance.
• Report compliance performance and emerging risks to the CEO Chairman and Board with clear useful papers that focus on what matters.

Note: This role is based in Sydney CBD and requires full-time office attendance for the first 36 months. Hybrid working flexibility may be available thereafter subject to performance and business requirements.

About you

• Minimum 5 years compliance experience in Australian financial services with material time spent inside an AFSL holder.
• Demonstrated experience covering both wholesale and retail advice models ideally including a publication or model portfolio business.
• Working knowledge of SMSF administration and the SIS Act framework even if specialist SMSF detail comes from external advisers.
• Track record writing policies and procedures that have actually been implemented and used by a business not just filed.
• Experience running adviser training and file review programs.
• Relevant tertiary qualification in law commerce finance or a related field.
• RG 146 compliant. Additional qualifications such as Graduate Diploma in Applied Corporate Governance GAICD or postgraduate compliance or law qualifications are highly regarded.

Whats on Offer

• Competitive salary package.
• High-impact role with direct access to senior leadership.
• Supportive collaborative and professional team culture.
• Opportunity to shape and strengthen the firms compliance framework.
• Career growth within a respected and growing financial services business.
• Hybrid working flexibility available following the initial onboarding period.