Advice Risk and Governance Manager

4 weeks ago

Sydney, New South Wales, Australia Count Full time
Overview

At Count, we're on a mission to empower our national network of financial advisers to deliver excellence while upholding the highest professional and compliance standards. We're seeking an Advice Risk and Governance Manager to join our Professional Standards team. This role supports advisers and their teams across our AFSLs, providing guidance, training, and oversight to ensure compliance and professionalism is always front of mind.

Key Responsibilities
  • Act as a trusted partner to advisers and their staff, responding to compliance queries and offering technical guidance.
  • Manage incidents, breaches, complaints, and consequence management with accuracy and care.
  • Oversee Key Risk Indicator (KRI) monitoring, working with technology partners to investigate and improve reporting.
  • Review approval requests including advice documents and marketing material.
  • Deliver engaging training and education sessions (in person and online) to strengthen compliance culture.
  • Support continuous improvement of advice documentation and standards in line with regulatory change.
Key Skills and Experience
  • Strong experience in compliance, risk management, or professional standards within financial planning or a licensee environment.
  • Excellent knowledge of legislative, regulatory, and licensee obligations.
  • Confidence in handling complaints, breaches, or advice remediation activities.
  • Strong communication skills — both written and verbal — with the ability to engage and influence.
  • Tertiary qualification in a relevant discipline.
Why Join Us?
  • Professional Growth: At Count, we are committed to fostering your professional development. You'll have the opportunity to work alongside industry leaders and expand your skills and expertise.
  • Great Benefits: Birthday leave, Take 4 get 5 leave, Corporate Volunteering Days and Fundraising matching, reimbursement for financial planning, and more
  • Collaborative Team: Work in a supportive, collaborative environment where your ideas and contributions are valued.
  • Competitive Compensation: We offer a competitive salary package based on experience, with opportunities for performance-based rewards.

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