_{29th September, 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.
• 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.
• Manage 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 
• 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.

Skills & Qualifications

• Strong understanding of financial planning regulations
• 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
• Relevant financial planning qualifications

    

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