About us

Byfields Wealth Management is a respected financial services firm dedicated to delivering comprehensive wealth management solutions to our clients. We are committed to maintaining the highest standards of compliance, regulatory excellence, and client service. Our team of experienced professionals works collaboratively to ensure that our clients receive sound financial advice and support in achieving their financial goals.

About the role

We are seeking a Compliance & Advice Process Officer (Financial Planning) to join our team in Burswood, WA 6100. We are open to considering applicants seeking full-time, part-time or flexible school-hours arrangements. This role is responsible for supporting our AFSL compliance obligations, advice review processes and ongoing operational improvements.

You will work closely with management, advisers and paraplanners to ensure our advice framework remains compliant, practical and efficient while helping implement process improvements across the business.

Key responsibilities

- Monitor and review financial planning advice files and documentation to ensure compliance with ASIC requirements and Byfields Wealth Management internal policies
- Develop, implement, and maintain compliance procedures and processes for the financial planning team
- Conduct quality assurance reviews on client advice files, financial plans, and supporting documentation
- Identify compliance gaps and implement corrective actions to prevent future issues
- Support financial advisers by providing guidance on compliance obligations and best-practice advice processes
- Maintain detailed records and documentation of all compliance activities and audit trails
- Liaise with compliance officers and management to report on compliance status and metrics
- Assist in the preparation and maintenance of compliance manuals, checklists, and procedural documentation




- Participate in training and induction programmes for advisers on compliance and advice process requirements
- Monitor regulatory updates and ensure our processes remain current with legislative changes

What we're looking for

- A solid understanding of financial services regulation, particularly ASIC's financial advice standards and requirements under the Corporations Act 2001 (Cth)
- Knowledge of the financial planning advice process, including needs analysis, fact-finding, and documentation standards
- Excellent attention to detail with the ability to identify compliance issues and inconsistencies
- Strong written and verbal communication skills with the ability to explain complex compliance concepts to advisers
- Experience in compliance, quality assurance, or advice process management within the financial services industry
- Proficiency with Microsoft Office applications and experience with compliance management software (desirable)
- The ability to work independently and as part of a team in a fast-paced environment
- A professional approach to confidentiality and data security
- Relevant qualifications such as a diploma or certificate in financial services compliance (preferred)
- Strong organisational and project management skills

What we offer

- Flexible working arrangements, including full-time, part-time or school hours opportunities
- A varied role spanning compliance, advice processes and operational improvements
- A collaborative and supportive work environment where your contributions are valued
- The opportunity to work closely with advisers and be involved in key business initiatives
- The ability to contribute to continued growth and improvement of the business

Apply now If you are a detail-oriented professional with a passion for compliance and financial services excellence, we would like to hear from you. Please submit your resume, cover letter, and information on your preference for part or full time. We look forward to hearing from you.

📌 Compliance & Advice Process Officer (Financial Planning) (Burswood)
🏢 Byfields Wealth Management
📍 Burswood