Senior Compliance Officer

Senior Compliance Officer

Location: Sydney
Job type: Full-time

A well-established financial services organisation is seeking a Senior Compliance Officer to support its advice and wealth management operations. This is a hands-on role suited to a compliance professional with experience in an AFSL environment who enjoys working closely with advisers and business stakeholders to deliver practical compliance outcomes.

Reporting to senior leadership, you will play a key role in maintaining and enhancing the compliance framework while providing day-to-day support across advice, SMSF administration and broader regulatory obligations.

The Opportunity

This role offers the chance to work across a broad range of compliance activities, partnering directly with advisers, planners and business leaders rather than operating in a purely policy-focused environment.

You will be responsible for maintaining compliance frameworks, supporting adviser supervision, conducting file reviews, delivering training and helping the business navigate regulatory obligations in a practical and commercial manner.

Key Responsibilities

• Support and maintain the compliance framework across the business
• Review and update compliance policies, procedures and registers
• Conduct adviser file reviews and supervision activities
• Provide guidance to advisers and stakeholders on day-to-day compliance matters
• Assist with breach management, incident reporting and complaints handling
• Support compliance monitoring and risk management activities
• Coordinate and deliver compliance training and regulatory updates
• Assist with AFSL obligations and regulatory requirements

About You

• 3-5 years' compliance experience within financial services
• Experience working for an AFSL holder
• Exposure to adviser supervision, file reviews or advice compliance
• Strong policy and procedure writing skills
• Working knowledge of SMSF administration and the SIS Act framework
• Strong communication and stakeholder management skills

What's on Offer

• Broad, business-facing compliance role
• Exposure across advice, compliance and SMSF operations
• Collaborative and supportive environment
• Opportunity to further develop your compliance career