Risk and Compliance Manager

Capital Haus Group (CHG)

About Us

Capital Haus Group (CHG) is a leading Australian financial services group providing financial advice, trading, wealth management and technology solutions through its two Australian Financial Services Licence (AFSL) businesses:

· Capital Haus Financial Services (AFSL 553019)

· Baker Young (AFSL 246735)

CHG is a national wealth management group operating across multiple offices, offering a comprehensive suite of financial advice, investment, trading and wealth management services to high-net-worth clients, investors and advisers

As a growing and evolving national wealth management group, CHG is committed to strong governance, effective risk management and a culture of compliance, enabling innovation, sustainable growth and the ongoing success of its advisers and clients.

About the Role

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 effectiveness of Capital Haus Group's risk management and compliance frameworks across its AFSL entities.

The role is responsible for the oversight and delivery of compliance monitoring activities, adviser supervision and surveillance programs, incident and breach management, regulatory change implementation, and compliance reporting. A key component of the position is undertaking risk-based advice file reviews and audits to assess compliance with regulatory obligations, internal policies and advice quality standards.

Working closely with Responsible Managers, Authorised Representatives,



business leaders and operational teams, the Risk and Compliance Manager provides guidance, oversight and constructive challenge to support effective risk management, regulatory compliance and positive client outcomes across the Group.

The successful candidate will be a pragmatic, commercially minded and solutions-focused risk and compliance skilled, capable of exercising sound judgement, influencing stakeholders and balancing regulatory requirements with business objectives while promoting a strong culture of compliance and risk awareness.

Location and Travel

Location: Adelaide

Travel: Periodic interstate travel may be required across CHG offices

Key Responsibilities

Compliance Monitoring and Adviser Supervision

- Deliver compliance monitoring, surveillance and adviser supervision programs

- Conduct risk-based advice file reviews and audits to assess compliance with regulatory obligations, internal policies and advice quality standards.

- Support adviser onboarding, authorisation, competency, CPD and ongoing supervision requirements.

- Provide practical compliance guidance and coaching to advisers and business stakeholders.

Risk, Incident and Compliance Management

- Support the ongoing operation and enhancement of the Group's Enterprise Risk Management Framework.





- Facilitate risk assessments, maintain risk registers and monitor remediation activities.

- Manage compliance incidents, breach assessments, complaints and reportable situations processes, including root cause analysis and regulatory reporting.

- Support the oversight of AML/CTF, business continuity and operational resilience frameworks.

Governance and Reporting

- Prepare risk and compliance reporting for management and governance committees.

- Maintain key compliance registers and support Responsible Managers in meeting AFSL obligations.

- Assist with adviser due diligence, fit and proper assessments, and regulatory change initiatives.

- Promote a strong culture of compliance, ethical conduct and risk awareness while supporting sustainable business growth.

Skills and Experience

- Degree in Law, Finance, Commerce, Business or a related discipline

- Compliance, risk management or governance qualifications highly regarded

- 5+ years' experience in risk, compliance or governance within financial services

- Advice file review experience essential

- Experience working within an AFSL environment with strong understanding of Corporations Act 2001, AFSL Obligations, ASIC Regulatory Guides, AML/CTF obligations, Managed Discretionary Accounts (desirable)

- Experience supporting adviser networks and financial advice businesses.

- Exposure to incident management, breach reporting and risk frameworks.

You must have full Australian working rights, without the need of sponsorship now or in the future to apply for this role.

📌 Risk & Compliance Manager (Adelaide)
🏢 Capital Haus
📍 Adelaide