Senior Compliance Officer
Senior Compliance Officer
Location: Sydney
Job type: Full-time
A well-established financial services organisation is seeking a Senior Compliance Officer to support its advice and wealth management operations. This is a hands-on role suited to a compliance professional with experience in an AFSL environment who enjoys working closely with advisers and business stakeholders to deliver practical compliance outcomes.
Reporting to senior leadership, you will play a key role in maintaining and enhancing the compliance framework while providing day-to-day support across advice, SMSF administration and broader regulatory obligations.
The Opportunity
This role offers the chance to work across a broad range of compliance activities, partnering directly with advisers, planners and business leaders rather than operating in a purely policy-focused environment.
You will be responsible for maintaining compliance frameworks, supporting adviser supervision, conducting file reviews, delivering training and helping the business navigate regulatory obligations in a practical and commercial manner.
Key Responsibilities
- Support and maintain the compliance framework across the business
- Review and update compliance policies, procedures and registers
- Conduct adviser file reviews and supervision activities
- Provide guidance to advisers and stakeholders on day-to-day compliance matters
- Assist with breach management, incident reporting and complaints handling
- Support compliance monitoring and risk management activities
- Coordinate and deliver compliance training and regulatory updates
- Assist with AFSL obligations and regulatory requirements
About You
- 3-5 years’ compliance experience within financial services
- Experience working for an AFSL holder
- Exposure to adviser supervision, file reviews or advice compliance
- Strong policy and procedure writing skills
- Working knowledge of SMSF administration and the SIS Act framework
- Strong communication and stakeholder management skills
What’s on Offer
- Broad, business-facing compliance role
- Exposure across advice, compliance and SMSF operations
- Collaborative and supportive environment
- Opportunity to further develop your compliance career