Compliance Manager
Core
Ensures the business meets regulatory, licensee, and internal compliance obligations by overseeing frameworks, monitoring adherence, and mitigating risk for an advice team.
Role type
Compliance Manager
Builds
Pre-vet programs, audit programs, and compliant adviser records
Domain
Financial advice and regulatory compliance
Deliverable
client delivery
Required skills
Financial planning regulations, compliance audit, pre-vet reviews, file audits, adviser onboarding, regulatory updates, data integrity, compliance guidance, risk mitigation
Preferred skills
Financial planning qualifications
Responsibilities
Maintain oversight of Licensee standards and policies; Ensure internal processes align with regulatory expectations; Deliver pre-vet program reviewing advice documents; Deliver audit program including file reviews and adviser audits; Manage Adviser onboarding and qualification checks; Manage FAR updates and adviser records; Maintain adviser and licensee registers; Stay up to date with legislation and policy updates; Handle compliance queries from advisers; Provide coaching to improve advice quality and reduce risk
