Compliance Manager | Financial Planning

About the firm
Our client is based in Central Adelaide 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

• Develop, implement, and maintain the businesses Risk Management Policy with quarterly reviews.
• Keep up to date with regulatory changes and adapt business policies accordingly.
• Oversee Advice Assurance Audits, ensuring compliance with industry standards.
• Lead the Compliance and Risk Management Committees.
• Provide guidance and training to advisers, paraplanners, and CSOs.
• Manage compliance during adviser onboarding and business acquisitions.

• 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.