29th September, 2026

Position Overview
The Compliance Manager plays a critical role in ensuring the business meets all regulatory, licensee, and internal compliance obligations. This position supports advisers, management, and the broader advice team by overseeing compliance frameworks, monitoring adherence to policies, and proactively identifying and mitigating risk.

Key Responsibilities
Maintain oversight of all Licensee standards, policies, and procedural requirements.
Ensure internal processes align with current regulatory expectations and Licensee obligations.
Deliver the pre‑vet program, reviewing advice documents prior to presentation to clients.
Deliver the audit program, including periodic file reviews, adviser audits, and thematic reviews.
Manage Adviser onboarding, including education and qualification checks.
Manage FAR updates and ensure adviser records remain accurate and compliant.
Maintain and update all adviser and licensee registers,



ensuring data integrity and timely reporting.
Stay up to date with legislation, regulatory changes, and Licensee policy updates
Handle compliance queries from advisers, providing explicit, accurate, and practical guidance.
Assist advisers in understanding and applying compliance requirements in their advice process.
Provide coaching and support to improve advice quality and reduce compliance risk.

Skills & Qualifications
Robust understanding of financial planning regulations
Experience in a compliance, audit, or risk role within financial advice
Experience conducting file audits or pre‑vet reviews
High attention to detail with robust analytical and problem‑solving skills
Excellent written and verbal communication skills
Relevant financial planning qualifications

If this sounds like you, please apply via the link below

📌 Compliance Manager Sydney (Australia)
🏢 Vivere Recruitment Group
📍 Australia