Lead and maintain the firm's AFSL and SMSF compliance framework: draft policies, manage registers and breaches, coordinate annual plans and training, liaise with external advisers, monitor regulatory obligations, and report risks to senior leadership.
About us
Bettersource is a specialist recruitment partner connecting high-calibre talent with leading organisations across Australia and New Zealand.
About the client
Our client is a privately-owned financial services firm with a proud history of delivering investment advice and strategic solutions to clients across Australia. With a strong foundation in equities, wealth management and superannuation, our client offers tailored financial strategies that empower individuals to take control of their wealth.
About the role
- Own the company's compliance framework across the AFSL and the SMSF administration business, ensuring it stays current with regulatory change.
- Draft, review and refresh policies, procedures and registers in plain English that advisers and staff will actually read and use.
- Maintain the breach register, conflicts register, gifts and benefits register, and incident log, ensuring root cause analysis is documented and lessons fed back into the framework.
- Coordinate the annual compliance plan, attestations and licence obligations, working with our external compliance advisory firms where specialist input is needed.
- Act as a trusted point of contact for advisers, planners and the company's Report team on day to day compliance questions.
- Sit in on adviser meetings, sales meetings and investment committees where appropriate to spot issues early.
- Build and deliver the company's compliance training program, including induction, ongoing CPD relevant content, and targeted refreshers based on observed risks.
- Act as the company's primary liaison with our external compliance advisory firms across AFSL, AML/CTF, SMSF and any specialist matters.
- Maintain AFSL obligations including those under the Corporations Act, RG 104, RG 105, RG 146, RG 175 and related guidance.
- Report compliance performance and emerging risks to the CEO, Chairman and Board, with clear, useful papers that focus on what matters.
Note: This role is based in Sydney CBD and requires full-time office attendance for the first 3–6 months. Hybrid working flexibility may be available thereafter, subject to performance and business requirements.
About you
- Minimum 5 years' compliance experience in Australian financial services, with material time spent inside an AFSL holder.
- Demonstrated experience covering both wholesale and retail advice models, ideally including a publication or model portfolio business.
- Working knowledge of SMSF administration and the SIS Act framework, even if specialist SMSF detail comes from external advisers.
- Track record writing policies and procedures that have actually been implemented and used by a business, not just filed.
- Experience running adviser training and file review programs.
- Relevant tertiary qualification in law, commerce, finance or a related field.
- RG 146 compliant. Additional qualifications such as Graduate Diploma in Applied Corporate Governance, GAICD, or postgraduate compliance or law qualifications are highly regarded.
What's on Offer
- Competitive salary package.
- High-impact role with direct access to senior leadership.
- Supportive, collaborative and professional team culture.
- Opportunity to shape and strengthen the firm's compliance framework.
- Career growth within a respected and growing financial services business.
- Hybrid working flexibility available following the initial onboarding period.
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