<table width="680"><tbody><tr><td width="507"><p><strong>Risk and Compliance Officer - Wealth Management | $130k-$150k package | Sydney CBD</strong></p><p>A highly regarded investment and wealth management firm is seeking a talented <strong>Risk and Compliance Officer</strong> to join its in-house team.</p><p>With a strong national presence and the backing of a major global financial group, this organisation offers a rare blend of boutique culture and institutional scale - providing a collaborative, professional, and forward-thinking environment.</p><p> </p><p><strong>The Role</strong></p><p><br /> This newly created position will support the business in maintaining high standards of regulatory compliance and advice quality. You'll work closely with advisers, planners, and internal stakeholders to ensure advice practices align with industry and internal standards.</p><p> </p><p><strong>Key Responsibilities</strong></p><ul><li>Conduct adviser and advice reviews (SOAs, ROAs, and related documentation)</li><li>Provide guidance to advisers and support staff on regulatory and compliance matters</li><li>Assist with remediation projects, compliance monitoring, and process improvements</li><li>Contribute to training sessions and the continuous uplift of compliance frameworks</li></ul><p> </p><p><strong>About You</strong></p><ul><li>Minimum 3 years' experience in financial services compliance or advice supervision</li><li>Sound understanding of advice and distribution obligations for retail and wholesale clients</li><li>Strong stakeholder engagement and communication skills, with the confidence to work closely with front-office teams</li><li>Tertiary qualifications in Law, Commerce, Finance, or a related discipline (preferred)</li></ul><p> </p><p><strong>What's on Offer</strong></p><ul><li>Broad exposure across both risk and compliance in a growing, high-performing business</li><li>Excellent CBD location and modern offices</li><li>Competitive salary package of <strong>$130,000-$150,000 (inclusive of super)</strong></li><li>Supportive and social culture with strong leadership and development opportunities</li></ul><p><em>Reference Number: </em><em>06800-0013322964</em></p><p><strong><em> </em></strong></p><h4> </h4></td></tr></tbody></table><p><em>By clicking 'apply', you give your express consent that Robert Half may use your personal information to process your job application and to contact you from time to time for future employment opportunities. For further information on how Robert Half processes your personal information and how to access and correct your information, please read the Robert Half privacy notice: <a href="https://www.roberthalf.com/au/en/privacy" target="_blank">https://www.roberthalf.com/au/en/privacy.</a> Please do not submit any sensitive personal data to us in your resume (such as government ID numbers, ethnicity, gender, religion, marital status or trade union membership) as we do not collect your sensitive personal data at this time.</em></p><img src="https://counter.adcourier.com/amFjay5oYXNsYW0uOTM1NDcuMTA2NzVAcmhpYXVzLmFwbGl0cmFrLmNvbQ.gif">
<table width="680"><tbody><tr><td width="507"><p>Join a leading Australian financial services organisation committed to excellence, integrity, and innovation. As a Compliance Manager, you'll play a critical role in strengthening the organisation's regulatory frameworks and ensuring ongoing compliance with APRA, ASIC, and prudential standards.</p><p> </p><p>This is a senior opportunity for an experienced compliance professional to influence outcomes, partner with senior leaders, and help drive a strong, risk-aware culture across a diversified and growing financial services business.</p><p> </p><p><strong>About the Opportunity</strong><br /> Reporting to the Senior Manager - Compliance, you'll be part of the Group Risk and Resilience team - a key function responsible for embedding effective compliance and governance practices across the enterprise.</p><p>You'll oversee the design, implementation, and continuous improvement of compliance frameworks, provide regulatory insights, and ensure alignment with obligations under AFS licence conditions, ASIC guidance, and APRA prudential standards. You'll also contribute to incident management, breach reporting, training programs, and engagement with regulators and auditors.</p><p> </p><p><strong>Key Responsibilities</strong></p><ul><li>Develop, maintain, and monitor compliance frameworks aligned with AFS licence obligations, ASIC and APRA requirements, and prudential standards (CPS 220, CPS 230).</li><li>Lead compliance monitoring programs and deliver targeted assurance reviews across business units.</li><li>Manage the identification, investigation, and reporting of breaches and incidents to regulators.</li><li>Oversee obligations management and compliance registers within GRC systems.</li><li>Assess the impact of regulatory change and communicate updates to business stakeholders.</li><li>Deliver compliance education and awareness initiatives to promote strong governance culture.</li><li>Provide high-quality reporting and insights to senior management, executive committees, and the Board.</li><li>Partner with Legal, Risk, and business leaders to deliver pragmatic, commercially sound compliance advice.</li></ul><p> </p><p><strong>About You</strong><br /> You're a confident and commercially astute compliance professional who thrives in a regulated financial services environment. You bring:</p><ul><li>6+ years' experience in compliance, risk, or governance roles within financial services, insurance, superannuation, or banking.</li><li>Strong understanding of APRA and ASIC regulatory frameworks and compliance obligations under relevant prudential standards.</li><li>Proven experience designing and implementing compliance frameworks and controls.</li><li>Strong analytical and written communication skills with an ability to simplify complex regulatory concepts.</li><li>Excellent stakeholder management skills and the ability to influence outcomes across the business.</li></ul><p> </p><p><strong>Why You'll Love It Here</strong></p><ul><li>Join a financially strong, member-focused organisation with a long-standing reputation for trust and stability.</li><li>Work with experienced risk and compliance professionals in a values-led, collaborative culture.</li><li>Exposure to diverse and evolving financial products and services.</li><li>Hybrid work model with flexibility and balance.</li><li>Competitive remuneration and genuine career development opportunities.</li></ul><p> </p><p>If you're looking for a role where your expertise can shape compliance culture and contribute to the strength and integrity of a respected financial services organisation, we'd love to hear from you.</p><p> </p><p><strong>Apply now</strong> to take the next step in your compliance career.</p><p> </p><p><em>Reference Number: 06800-0013327521</em></p><p><strong><em> </em></strong></p><h4><strong>This is a </strong>hybrid position</h4></td></tr></tbody></table><p> </p><p><em>By clicking 'apply', you give your express consent that Robert Half may use your personal information to process your job application and to contact you from time to time for future employment opportunities. For further information on how Robert Half processes your personal information and how to access and correct your information, please read the Robert Half privacy notice: <a href="https://www.roberthalf.com/au/en/privacy" target="_blank">https://www.roberthalf.com/au/en/privacy.</a> Please do not submit any sensitive personal data to us in your resume (such as government ID numbers, ethnicity, gender, religion, marital status or trade union membership) as we do not collect your sensitive personal data at this time.</em></p><img src="https://counter.adcourier.com/amF5ZG9uLmdpbGwuNDE5NTIuMTA2NzVAcmhpYXVzLmFwbGl0cmFrLmNvbQ.gif">
