Compliance Manager
Core
Ensures business adherence to regulatory, licensee, and internal compliance obligations by overseeing frameworks, monitoring policies, and mitigating risk for an advice team.
Role type
Compliance Manager
Builds
Compliance frameworks, audit programs, and pre-vet review processes
Domain
Financial advice and regulatory compliance
Deliverable
dashboards & analysis
Required skills
Financial planning regulations knowledge, audit and pre-vet review experience, data integrity management, legislative tracking, compliance guidance
Preferred skills
Financial planning qualifications, coaching experience
Responsibilities
Maintain oversight of licensee standards and policies; deliver pre-vet and audit programs; manage adviser onboarding and record accuracy; update adviser and licensee registers; handle compliance queries; coach advisers on compliance requirements.
