Senior Manager - Financial Advice Compliance

Senior Manager - Financial Advice Compliance

A leading investment and wealth management firm is seeking a Senior Manager to join its Compliance & Risk team. This is a high-impact role with ownership of the financial advice compliance function and strong exposure to senior stakeholders across the business.

The Role

• Act as the SME for financial advice compliance across the business
• Conduct and oversee adviser reviews, including SOA assessments
• Partner closely with advisers and planners on day-to-day compliance queries
• Lead initiatives to uplift advice quality, frameworks, and documentation
• Develop and deliver training across the advice network
• Identify risks and enhance policies, procedures, and controls
• Support regulatory engagement and industry liaison where required

About You

• 5-7+ years' experience in financial services, ideally within advice or wealth compliance
• Strong understanding of regulatory obligations for financial product advice (retail & wholesale)
• Experience working closely with advisers and reviewing advice documents
• Confident communicator, able to influence front office and senior stakeholders
• Strong analytical, written, and stakeholder management skills

Desirable

• Graduate Diploma in Financial Planning (or equivalent)
• Background in wealth management, stockbroking, or financial planning
• Exposure to compliance uplift or operational risk frameworks
• Knowledge of equities, derivatives, or listed products

What's on Offer

• $160k-$180k package + discretionary bonus
• Ownership of a key compliance function
• High visibility with senior leadership
• Collaborative, in-office culture (CBD location)
• Opportunity to lead projects and drive meaningful change

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