Advice/Compliance Policies Manager

Job Title: Advice/Compliance Policies Manager
Contract Type: Permanent
Location: VIC Other
Start Date: Immediate
Reference: PZ2940977
Contact Name: Paul Zantuck
Contact Email:
Job Published: May 20, 2019 16:16

Job Description

My client is a dynamic and innovative well known financial services provider and currently a fantastic position is vacant for a Advice/Compliance Policies Manager to join the friendly and inspiring team based in Melbourne.

The purpose of this role is to manage the design and maintenance of their policies and be involved with the creation of methodologies and frameworks to ensure a consistent and fair remediation standard for all their respective customers.

Key Responsibilities: 
  • The role will need to work collaboratively with the heads of the other business areas to drive the development of a positive compliance culture.
  • Lead the compliance team in pursuit of the overall strategy
  • Ongoing development, maintenance and management of the Operational Risk and Compliance Framework of the business
  • Provide regulatory oversight and advice to ensure that the business is informed of all risks
  • The implementation of checks and quality control; development of process manuals; implement, monitor, analyse and support the consistent application of monitoring and supervision across the end to end advice process; and ensuring the business meets its legislative, regulatory and professional body standards obligations.
  • Leading, coaching and developing other leaders in the Compliance and Operations team
  • Using root cause analysis to ensure quality outcomes and high standards through framework improvement
  • Analyse the effectiveness of the existing risk & compliance framework and identifies enhancements,methodologies & controls.
  • Contribute to specific projects and drive strategic initiatives within the business
Experience required:
  • Proven management experience (4-5 years) in the financial advice industry (ideally within a compliance leadership role)
  • Prior experience in managing relationships with clients and financial advisers and their needs.
  • Advanced Diploma of Financial Planning (Mandatory)
  • Expert knowledge of financial services risk and key regulations, policies, remediation frameworks.
  • Degree in Law, Business, Commerce, Finance or equivalent, ideally with a post graduate qualification (preferable)

To be considered for this highly rewarding role please email your resume via the link below or to hear more about this role confidentially and other opportunities across the Superannuation and Wealth Management sector, please contact Paul Zantuck on 03 8637 7320 or email your resume to

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