Compliance Manager

Position Summary

As part of the Compliance team at Focus Partners Australia, you will play a key role in delivering independent and objective assurance and consulting services that enhance the organisations operations. Your primary responsibility will be to lead our assurance audit program, including delivery of training on licensee standards, policies, and procedures to ensure compliance and consistency across the business.

You will oversee post-assurance review follow-ups, identify training gaps, and develop and implement targeted training plans. The role also includes maintaining risk registers, preparing reports for internal stakeholders, and supporting continuous improvement in risk management, internal controls, and governance practices.

You will act as a key point of contact for internal stakeholders, providing day to day guidance and support in interpreting relevant legislation and regulatory requirements. This includes assisting teams with the practical application of legal and compliance obligations within the financial planning process and ensuring the effective implementation of policy and procedural updates. Your expertise will help drive consistent, compliant practices across the business and support informed decision making in the delivery of financial planning services.

This role is located in Sydney, AUS or Melbourne, AUS.

Primary Responsibilities

• Provide independent and objective assurance over the advice process for both financial and credit advice files;
• Conduct post review debriefs with relevant stakeholders to discuss audit findings, identify areas for improvement, and ensure clarity on required actions;
• Deliver targeted training sessions based on review outcomes to support continuous improvement and reinforce compliance with policies, procedures, and regulatory requirements;
• Assist in preparing comprehensive reports based on audit review findings and post-review actions for presentation to internal Risk and Compliance Committees and the Board, ensuring timely, accurate, and insightful reporting to support effective governance and decision making;
• Review and analyse key risk and incident registers to identify trends, provide insights, and offer feedback on opportunities for strengthening risk management practices, including support for problem resolution, root cause analysis, and operational improvement initiatives;
• Establish and conduct independent testing of internal risk and obligation controls to assess compliance with regulatory and internal requirements. Provide feedback on control effectiveness, highlight any gaps or weaknesses, and make recommendations to support operational improvements and risk mitigation;
• Support business change initiatives by assisting in the rollout and delivery of process changes, ensuring effective control frameworks are considered and embedded;
• Conduct assurance reviews in line with the established review schedule, ensuring timely completion and regular reporting on progress, findings, and any delays or issues to relevant stakeholders;
• Assist in updating and maintaining key risk and compliance registers to ensure information remains accurate, current, and aligned with regulatory and internal reporting requirements;
• Assist with day-to-day operational queries from internal stakeholders, providing guidance and support to ensure alignment with compliance obligations, internal policies, and risk management practices.
• Provide ongoing support and assistance to the Head of Compliance in managing compliance activities, coordinating projects, and facilitating communication across teams.

Qualifications

• 3+ years' experience in Audit, or Quality Assurance.
• Experience in paraplanning is an advantage.
• Must meet RG146 qualifications
• Demonstrated ability to work effectively with cross functional teams
• Excellent communication skills and the ability to clearly explain and influence understanding of policies, process and standards.
• Strong organisational, time management and decision making skills.
• Excellent report writing, presentation and interpersonal skills.

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