Compliance Manager | Financial Planning

About the firm
Our client is based in the Southern suburbs of the Gold Coast and are renowned for delivering innovative, long-term financial solutions with passion and empathy. They foster a positive work environment where innovation and collaboration are celebrated.

One of the many highlights of joining this team is their low staff turnover, which reflects the company's commitment to employee satisfaction and retention.
This supportive environment not only nurtures professional growth but also ensures a healthy work-life balance. 

The role
We are seeking a highly skilled Compliance Manager to join an expanding financial services firm. This role offers an exciting opportunity to lead and enhance compliance and risk management strategies within a dynamic and forward-thinking environment. You will ensure that this firms advice aligns with regulatory requirements.

Key responsibilities

• Monitor compliance with the AFSL, including financial services offered and advice provided.
• Establish and update compliance policies and procedures.
• Conduct and oversee regular audits and reviews of financial advisers advice.
• Ensure adequate record keeping and documentation of client advice files.
• Provide compliance training to advisers, paraplanners, and CSO's.
• Ensure advisers meet ongoing training and CPD.

• Strong experience in a similar compliance role within financial services.
• Strong knowledge of financial planning compliance, risk management, and regulations.
• Proficiency in Xplan and other financial planning software.
• Leadership and coaching skills to support staff in compliance-related matters.
• Exceptional analytical, problem-solving, and communication skills.
• A proactive approach with a high level of integrity and accountability.

• Competitive Salary Package: Reflecting your skills, experience, and contributions.
• Professional Development Opportunities: Access to ongoing training, mentoring, and support for further qualifications.
• Positive Work Culture: A collaborative, inclusive environment that values innovation, teamwork, and employee care.
• Low Staff Turnover: Reflecting the organisation’s dedication to employee satisfaction and retention.
• Career Growth Potential: Clear pathways to expand your expertise and progress within the organisation.
• Health and Wellness Programs: Initiatives designed to support your physical and mental well-being.