The Opportunity A well-established, mid-sized advice group is seeking a Head of Compliance and Governance to lead the compliance, governance and risk agenda across its AFSL and aligned adviser network. This is a senior appointment and a key seat at the internal leadership table, combining hands-on operational delivery with strategic input into how the licensee operates and evolves.

Sitting at the intersection of the AFSL, the dealer group and the advice practices it supports, you will be the trusted point of contact for advisers on all things regulatory — helping them understand their obligations, navigate change, and deliver consistently good client outcomes.

The Role

- Lead the compliance and governance function across the AFSL, ensuring adherence to ASIC regulations, the Corporations Act, RG 175, RG 104 and all other relevant advice legislation
- Own and evolve the compliance framework, policies, procedures and monitoring program, keeping them fit-for-purpose as regulation and the business evolve
- Provide expert guidance to advisers and advice practices on regulatory obligations, advice process, technical standards and best practice
- Lead risk management activities across the licensee by identifying, assessing, escalating and mitigating risks across advice, operational and conduct domains
- Manage breach identification, investigation and reporting, including reportable situations to ASIC
- Oversee cyber security and data security compliance obligations, working closely with technology and operational teams
- Present confidently at PD days, adviser forums and internal leadership meetings - translating regulation into practical guidance
- Drive conversations with advice practices on performance,



conduct and remediation where required, including difficult conversations, with professionalism and care
- Contribute to governance forums, committees and board reporting
- Lead, develop and mentor a small compliance team

About You

- Deep experience in compliance and governance within Australian financial advice, gained from both an AFSL and a licensee / dealer group perspective
- Strong technical understanding of how advice legislation applies in practice and how it shapes the way advice practices operate day-to-day
- A seasoned, professional presence - someone advisers trust, respect and want to pick up the phone to
- A natural leader and recognised expert who takes charge of people and situations with authority and calm
- Endurance and capacity to hold complexity while operating at pace - comfortable moving between strategic thinking and detailed technical work in the same day
- Highly logical, structured approach to problem solving, drawing on all available data sources to make effective, well-reasoned decisions
- Confidence and credibility to present at PD days and lead conversations with senior advisers and practice principals
- Proven track record in risk management, breach reporting and ASIC reporting
- Sound knowledge of cyber security and data security regulatory obligations affecting advice licensees
- Excellent written and verbal communication skills - articulate, clear and considered
- Solid ownership mindset with a focus on the right outcomes for the licensee, aligned businesses and their clients
- Relevant tertiary qualifications; RG 146 compliant; further compliance, risk or legal qualifications highly regarded
- Prior people leadership experience

📌 Head of Compliance & Governance (Sydney)
🏢 Godfrey Group Recruitment u0026 Consultancy
📍 Sydney