_{19th March, 2026}

Position Overview
The Compliance Manager plays a critical role in ensuring the business meets all regulatory, licensee, and internal compliance obligations. This position supports advisers, management, and the broader advice team by overseeing compliance frameworks, monitoring adherence to policies, and proactively identifying and mitigating risk.
  
Key Responsibilities

• Maintain oversight of all Licensee standards, policies, and procedural requirements.
• Ensure internal processes align with current regulatory expectations and Licensee obligations.
• Monitor adherence to compliance frameworks and escalate issues where required.
• Deliver the pre‑vet program, reviewing advice documents prior to presentation to clients.
• Deliver the audit program, including periodic file reviews, adviser audits, and thematic reviews.
• Identify trends, recurring issues, and training needs arising from audit outcomes.
• Manager Adviser onboarding, including education and qualification checks.
• Manage FAR updates and ensure adviser records remain accurate and compliant.
• Maintain and update all adviser and licensee registers, ensuring data integrity and timely reporting.
• Stay up to date with legislation, regulatory changes, and Licensee policy updates 
• Communicate relevant changes to advisers and internal stakeholders, ensuring timely adoption of new requirements.
• Support the development and implementation of updated internal policies and procedures.
• Handle compliance queries from advisers, providing clear, accurate, and practical guidance.
• Assist advisers in understanding and applying compliance requirements in their advice process.
• Provide coaching and support to improve advice quality and reduce compliance risk.
• Manage the internal complaints process, ensuring all complaints are logged, investigated, and resolved in line with regulatory timeframes.
• Prepare documentation and responses for escalated or complex complaints.

Skills & Qualifications

• Strong understanding of financial planning regulations
• Experience with Licensee frameworks
• Experience in a compliance, audit, or risk role within financial advice 
• Experience conducting file audits or pre‑vet reviews
• High attention to detail with strong analytical and problem‑solving skills
• Excellent written and verbal communication skills
• Ability to interpret legislation, policies, and technical requirements.
• Strong organisational skills with the ability to manage multiple priorities
• Relevant financial planning qualifications

    
 
  

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