AFSL - Responsible Manager (Personal Financial Planning)

at; Österreich; Vor Ort; EUR 80 000 - 100 000; Vollzeit

Zusammenfassung

A leading financial services provider in Austria is seeking a High-Calibre Responsible Manager to provide leadership and oversight across financial planning operations. This senior role will ensure compliance and drive a culture of quality advice within the organization. Candidates should have strong regulatory expertise and extensive experience in financial planning compliance. Join a fast-growing team committed to high compliance standards and technology-driven solutions.

Leistungen

Flexible workload structure

Monthly consultant retainer

Investment in technology and process automation

Qualifikationen

• Extensive experience across financial planning compliance, AFSL governance, or licensee standards.
• Excellent understanding of advice processes, documentation, regulatory frameworks, and risk management.
• Strong judgment and attention to detail.

Aufgaben

• Oversee adviser competency and ensure compliance with legal regulations.
• Conduct audits and identify regulatory risks.
• Support adviser onboarding and ensure alignment with AFSL.

Kenntnisse

Financial planning compliance

Regulatory frameworks

Risk management

Communication

Jobbeschreibung

AFSL - Responsible Manager (Personal Financial Planning)

Trend Investor Services Proprietary Limited View all jobs

Trend Investor Services (AFSL #255 475), part of the rapidly expanding Trend Capital Group is elevating its advice capability and strengthening the AFSL that supports our national network of advisers and wealth professionals due to a successful 2025 of new business and tech innovation.

We are seeking a High-Calibre Responsible Manager with strong regulatory expertise to provide leadership, oversight, and assurance across our financial planning operations, working alongside our CEO, External Compliance Manager and Trend Compliance Committee.

This is a senior role with real compliance influence: shaping the quality, safety, and integrity of advice delivered under our licence.

What You’ll Lead

Advice Quality & Professional Standards

Oversee adviser competency, conduct and ongoing development.

Drive high-quality advice outcomes through structured reviews, file audits.

First point of call for complex advice strategies to ensure Trend acts in client’s best interest.

Compliance Frameworks & Governance

Maintain robust AFSL monitoring, supervision, and reporting programs.

Conduct periodic advice, operational, and thematic audits.

Identify emerging regulatory risks and ensure timely implementation of controls.

Regulatory Assurance & Incident Management

Investigate incidents and potential breaches with accuracy and independence.

Monitor complaints, assess trends, and enhance client outcome standards.

Maintain and monitor Approved Product List (APL) governance including our "Blacklist".

Client Obligations & Regulatory Alignment

Ensure compliance with FSG, PDS, SOA, ROA, fee consent, DDO, TMDs, and anti-hawking requirements.

Strengthen disclosure frameworks and ensure documentation meets ASIC expectations.

Deliver ongoing compliance training, regulatory updates, and practical workshops.

Support adviser onboarding/offboarding to ensure full alignment with AFSL systems.

Promote a culture where quality advice and regulatory excellence are lived, not preached.

What You Bring

Strong Moral Compass

Extensive experience across financial planning compliance, AFSL governance, or licensee standards.

Excellent understanding of advice processes, documentation, regulatory frameworks, and risk management.

Confident communicator capable of guiding advisers and shaping a high-performance compliance culture.

Strong judgment, attention to detail, and the ability to operate at a strategic level while executing with precision.

Why Join Trend Investor Services?

A senior advisory position with direct influence on the compliance evolution of a modern, fast-growing AFSL.

A group that invests in technology, process automation, and high-quality advice delivery.

Monthly consultant retainer with flexibility in how you structure your workload.

Work alongside an ambitious leadership team committed to industry-leading compliance standards.

Exposure to a multi-discipline financial services ecosystem spanning wealth, advice, capital markets, and emerging financial technologies.

Ready to Shape the Future of a Growing AFSL?

If you’re a seasoned RM or senior compliance leader looking for a role where your expertise genuinely matters; and where high standards are supported from the top down - we’d like to speak with you

Unlock job insights

Salary match Number of applicants Skills match

Your application will include the following questions:

• Which of the following statements best describes your right to work in Australia?
• How many years' experience do you have as a Responsible Manager?
• Have you completed a qualification in financial planning?

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