Broker Investigations Manager (Mortgage Broking)

Yellow Brick Road Home Loans is a franchise mortgage broker dedicated to helping Australians achieve their homeownership dreams. Through a nationwide franchise network and mortgage aggregation services, we support both franchise and independent brokers with competitive products, training, and resources.

Through an extensive panel of lenders and in partnership with Resi Home Loans, we offer a suite of exclusive lending products, bringing competitive rates and flexibility to the market. Driven by integrity and a client-first approach, Yellow Brick Road empowers our brokers to make homeownership accessible and achievable across Australia.

Joining our team means being part of a supportive, impact-driven organisation where you can contribute to shaping the mortgage industry.

About the Role

As the Broker Investigations Manager with Yellow Brick Road, you will drive the investigation process for mortgage broking activities in accordance with the Groups Investigation Policy. Working closely with the Compliance and Complaints Manager and reporting to the Chief Risk & Compliance Officer, you will provide expert guidance on broker investigations, compliance issues, and operational risks, delivering investigation insights and recommendations to senior leadership and the Groups Consequence Management Forum to support informed decision-making.

This full-time, office-based role in Sydney will play a key part in maintaining the quality and integrity of Yellow Brick Road's mortgage broking operations.

Key Responsibilities

Lead and manage broker investigations for the group, adopting the principles of procedural fairness and professionalism while delivering thorough, accurate and compliant investigation processes

Maintain and update the Investigations Register and track all cases through to resolution

Review reports, evidence,



and related documentation to assess compliance with internal policies and regulatory requirements

Prepare detailed investigation reports highlighting findings, risks, corrective actions, and training opportunities

Collaborate with the Compliance and Complaints Manager and other stakeholders to address issues and track corrective actions to completion.

Stay up-to-date with industry trends, regulatory changes, and best practices in mortgage broking investigations and compliance (ie, Responsible Lending, Document Verification, Best Interest Duty etc).

Develop, review, and update policies and procedures to reflect best practice and regulatory and industry changes.

Skills & Experience

Minimum 5 years’ experience in compliance and investigations within financial services, preferably in mortgage broking or lending.

Strong understanding of mortgage broking regulations, processes, and best practices, including NCCP Act, Broker Best Interest Duty (BID), AML/CTF, Responsible Lending, and Privacy obligations

Excellent analytical and problem-solving skills, with the ability to assess risk both quantitatively and qualitatively

Strong written and verbal communication skills with ability to present findings and recommendations to senior stakeholders

Experience in risk and compliance governance frameworks, including first, second, and third lines of defence.

Familiarity with compliance monitoring tools and platforms

Tertiary qualifications in Accounting, Finance, Business, or a related field (preferred).

What we Offer

At Yellow Brick Road Home Loans, we are committed to supporting our employees growth and development. In this role, you will have the opportunity to work alongside experienced professionals and contribute to the ongoing success of our mortgage broking business. We offer a competitive salary, attractive benefits, and a collaborative and inclusive work setting. If you're passionate about audit, compliance and the financial services industry, we'd love to hear from you.

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📌 Broker Investigations Manager (Mortgage Broking) (City of Sydney)
🏢 Yellow Brick Road
📍 City of Sydney