Senior Manager - Financial Advice Compliance

A leading investment and wealth management firm is seeking a Senior Manager to join its Compliance & Risk team. This is a high-impact role with ownership of the financial advice compliance function and strong exposure to senior stakeholders across the business.

The Role

- Act as the SME for financial advice compliance across the business
- Conduct and oversee adviser reviews, including SOA assessments
- Partner closely with advisers and planners on day-to-day compliance queries
- Lead initiatives to uplift advice quality, frameworks, and documentation
- Develop and deliver training across the advice network
- Identify risks and enhance policies, procedures, and controls
- Support regulatory engagement and industry liaison where required

About You

- 5-7+ years' experience in financial services, ideally within advice or wealth compliance
- Strong understanding of regulatory obligations for financial product advice (retail & wholesale)
- Experience working closely with advisers and reviewing advice documents
- Confident communicator, able to influence front office and senior stakeholders
- Strong analytical, written, and stakeholder management skills

Desirable





- Graduate Diploma in Financial Planning (or equivalent)
- Background in wealth management, stockbroking, or financial planning
- Exposure to compliance uplift or operational risk frameworks
- Knowledge of equities, derivatives, or listed products

What's on Offer

- $160k-$180k package + discretionary bonus
- Ownership of a key compliance function
- High visibility with senior leadership
- Collaborative, in-office culture (CBD location)
- Chance to lead projects and drive meaningful change

By clicking 'apply', you give your express consent that Robert Half may use your personal information to process your job application and to contact you from time to time for future employment opportunities. For further information on how Robert Half processes your personal information and how to access and correct your information, please read the Robert Half privacy notice: https://www.roberthalf.com/au/en/privacy. Please do not submit any sensitive personal data to us in your resume (such as government ID numbers, ethnicity, gender, religion, marital status or trade union membership) as we do not collect your sensitive personal data at this time.

📌 Senior Manager - Financial Advice Compliance (Sydney)
🏢 Recognized
📍 Sydney