Job Description
Capital Haus Group (CHG) is a leading Australian Financial Services provider offering advice, trading, wealth management and technology solutions through its two AFSL businesses:
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Operating across multiple offices nationally, CHG provides an integrated ecosystem of financial advice, investment, trading and wealth management solutions to high-net-worth individuals, family offices, investors and advisers.
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As a growing and evolving financial services group, CHG is committed to maintaining strong governance, risk management and compliance practices while supporting innovation, business growth and adviser success.
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About the Role
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Reporting directly to the Chief Risk and Compliance Officer (CRCO), the Risk and Compliance Manager plays a critical role in supporting the development, implementation and ongoing operation of Capital Haus Group's risk management and compliance frameworks across both AFSLs.
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The role is responsible for overseeing day-to-day compliance monitoring activities, adviser supervision programs, incident and breach management processes, policy implementation, regulatory change management and risk reporting. A big part of this role will include advice file reviews and audits.
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This position works closely with Responsible Managers, Authorised Representatives, business leaders and operational teams to ensure regulatory obligations are met while supporting commercial outcomes and sustainable business growth.
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The successful candidate will be a pragmatic, self-driven and solutions-focused compliance professional who can effectively balance regulatory requirements with commercial realities.
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Location and Travel
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Location: Sydney
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Travel:



Periodic interstate travel may be required across CHG offices
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Key Responsibilities
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Compliance monitoring and supervision
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Support the development and execution of adviser monitoring and supervision programs across both AFSLs.
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Conduct advice file reviews, and compliance monitoring activities.
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Assist with maintaining compliance frameworks, policies and procedures
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Support pre-vetting, post-vetting and risk-based supervision programs.
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Monitor adviser conduct, compliance obligations and competency requirements.
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Track adviser CPD obligations and professional standards requirements.
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Assist with adviser onboarding, authorisation and ongoing due diligence processes.
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Assist in the coaching, development and upskilling of advisers.
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Support the implementation and maintenance of the Enterprise Risk Management Framework.
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Facilitate risk assessments across business units.
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Maintain risk registers and monitor remediation activities.
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Assist in identifying emerging compliance, operational and conduct risks.
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Assist in the management and review of the AML/CTF Program.
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Support business continuity, operational resilience and control effectiveness reviews.
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Incident & breach management and complaints
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Support in the management of incident and breach reporting framework.
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Investigate compliance incidents and reportable situations.
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Conduct root-cause analysis and remediation monitoring.
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Prepare regulatory reporting documentation and breach assessments.
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Escalate material issues to the CRCO
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Management AFSL complaints process
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Governance and Reporting
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Prepare risk and compliance reporting for management and committees
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Assist in the preparation of ORC Committee papers and reporting packs
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Maintain key compliance registers, including breach register, complaints register, conflict register, gifts and benefits register etc
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Support Responsible Managers in meeting AFSL obligations
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Assist with adviser recruitment due diligence and ongoing fit and proper assessments
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Help foster a strong culture of compliance, ethical conduct and accountability
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Provide practical compliance support to business units and advisers
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Skills and Experience
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Degree in Law, Finance, Commerce, Business or a related discipline
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Compliance, risk management or governance qualifications highly regarded
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5+ years' experience in risk, compliance or governance within financial services
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Experience working within an AFSL setting with strong understanding of Corporations Act ****, AFSL Obligations, ASIC Regulatory Guides, AML/CTF obligations, Managed Discretionary Accounts (desirable)
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Experience supporting adviser networks and financial advice businesses.
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Exposure to incident management, breach reporting and risk frameworks.
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You must have full working rights to be considered for this role, unfortunately we are unable to provide sponsorship at this time.

📌 Risk & Compliance Manager (New South Wales)
🏢 Capital Haus
📍 New South Wales