Manager, Broker Compliance Consulting

The broker and adviser compliance consulting function plays a crucial role in ensuring that advice provided to individual customers is consistently delivered in accordance with regulatory obligations, internal policies, and the principles of responsible lending. This team provides a detailed, customer-level perspective on compliance, contributing to a comprehensive and accurate understanding of risks throughout the credit lifecycle. Key responsibilities include:

• Providing targeted coaching and support to brokers, advisers, and customer-facing staff to effectively remediate identified compliance issues and strengthen their compliance practices, ultimately improving customer outcomes.
• Collaborating closely across the Group's Risk, Technology, and Distribution functions to provide valuable customer-level insights that inform broader portfolio reviews and thematic analysis of key risks and emerging issues.
• Maintaining clear and auditable records of all compliance-related activities and contributing to both internal and external reporting requirements.
• Driving continuous improvement by proactively identifying process gaps, recommending policy enhancements, and fostering a culture of compliance across the entire Group and all broker and adviser touchpoints.
• Engaging directly with brokers and advisers to deliver targeted training (both proactive and reactive) and provide practical support on how to adapt their processes to ensure consistently compliant practices when providing credit assistance.
• Facilitating the ongoing education of our corporate team to ensure a thorough understanding of our robust monitoring & supervision framework and maintain a strong awareness of broker compliance among our frontline staff.

By focusing on the quality and integrity of individual customer interactions and outcomes, the Broker and Adviser Consulting team is instrumental in upholding regulatory standards, safeguarding our customers, and contributing to a well-informed, risk-aware approach to monitoring across the broader business.

As the Manager of Broker Compliance Consulting, you will lead and direct the Broker Compliance Consulting team, playing a pivotal role in enhancing compliance practices and improving customer outcomes across our broker network.

• Lead and manage the Broker Consulting team, fostering a culture of continuous improvement and collaboration.
• Develop and implement strategies for providing effective coaching, support, and training to brokers and advisers on compliance-related matters.
• Collaborate closely with the Monitoring & Supervision team and other relevant stakeholders to address identified compliance trends and issues at the individual broker level.
• Analyse customer-level data and insights to identify opportunities for improving broker practices and enhancing compliance.
• Develop and deliver targeted training programs and resources to brokers and advisers on regulatory requirements, internal policies, and responsible lending principles.
• Work collaboratively with the Risk and Policy teams to contribute to the development and enhancement of internal policies and procedures.
• Ensure the maintenance of accurate and auditable records of all consulting activities and interventions.
• Contribute to the development of reports and insights for senior management on the effectiveness of consulting activities and overall broker compliance.
• Stay abreast of changes in relevant legislation and regulations and ensure that brokers and advisers are informed and equipped to meet these requirements.
• Act as a point of escalation and provide expert guidance on complex compliance matters for brokers and advisers.

The ideal candidate will possess the following attributes:

• Demonstrated experience in a compliance, risk management, or training role within the financial services industry, preferably within mortgage broking or financial advice.
• A strong understanding of relevant legal and regulatory frameworks, including the National Consumer Credit Protection Act (NCCP) and ASIC requirements.
• Proven experience in coaching, mentoring, and influencing individuals to adopt best practices.
• Excellent customer and stakeholder engagement, communication and interpersonal skills, with the ability to build rapport and credibility with brokers, advisers, and our state teams .
• Strong analytical and problem-solving skills, with the ability to identify root causes of compliance issues and develop effective solutions.
• Demonstrated ability to develop and deliver engaging and effective training programs.
• Strong organizational and time management skills, with the ability to manage multiple priorities and meet deadlines.
• A proactive and solutions-oriented approach with a commitment to continuous improvement.
• Relevant tertiary qualifications.