Senior Manager, Adviser Governance and Review
Core
Lead governance strategy, onboarding, and ongoing monitoring of third-party advice licensees and advisers to protect member outcomes and ensure regulatory compliance.
Role type
Senior Manager, Adviser Governance (Financial Services)
Builds
Governance frameworks, monitoring tools, review methodologies, and defensible reporting for senior leadership.
Domain
Financial Services / Wealth Management / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Advice file compliance assessment, regulatory framework knowledge (AFSL), root cause analysis, professional judgement, stakeholder influence, thematic risk identification, AI-enabled process automation, remediation management
Preferred skills
RG146 qualification, experience with AI tools in risk/compliance, capability gap analysis
Technologies
AI-enabled tools, analytics, process automation
Responsibilities
Execute adviser governance strategy for third-party licensees; interpret AI-generated advice file findings; assess significance of issues and member detriment; distinguish process issues from conduct risks; identify patterns and thematic risks; engage stakeholders for corrective action; monitor action completion; prepare decision-ready reporting for Boards; coach teams on governance standards.
Seniority
Senior Manager, strategic execution & mentorship