Compliance Manager, Wealth Distribution

BeathChapman Pte Ltd; Sydney; On-site; AUD 140,000 - 170,000; Full time

Job summary

BeathChapman Pte Ltd in Australia seeks a senior compliance professional for 2nd Line of Defense support. You will provide expert advice on advertising and distributing consumer wealth products, sign off on materials, and lead the development of a robust compliance framework within Consumer Bank Compliance. The role demands strong regulations knowledge and stakeholder collaboration.

Qualifications

• 5 years of compliance, risk assurance or legal experience in Financial Services (wealth management preferred).
• Degree qualified in Business, Finance, or Legal.
• Ability to operate in a dynamic commercial environment and adapt quickly.
• Strong understanding of regulatory frameworks for financial advice (e.g., Corporations Act, Privacy, conflicts).

Responsibilities

• Support Bank Wealth Distribution and Analytics, Digital and Marketing teams.
• Provide compliance advice on advertising and distributing consumer wealth products.
• Sign off materials for customers and advisors per APRA, ASIC and OAIC guidelines.
• Perform compliance assessments to identify risks and develop an incident monitoring framework.
• Promote the Digital & Marketing Compliance Framework in line with regulatory changes.
• Conduct targeted reviews of key risks and controls.
• Run workshops and training with Business and Risk & Compliance teams.
• Lead implementation of a compliance framework and operating model within Consumer Bank Compliance.

Skills

Project management

Stakeholder influence

Compliance mindset

Risk assessment

Education

Degree in Business/Finance/Legal

Job description

Role Summary:

We are looking to fill a critical business-facing role in the 2nd LoD, to provide compliance support, advice and sign-off to Consumer Wealth Distribution. The role suits a confident compliance professional who can think on your feet and thrive in a busy and dynamic environment, consistently adding value to a group of Financial Advice stakeholders.

Your Responsibilities:

1. Play a crucial part in supporting Bank Wealth Distribution and Analytics, Digital and Marketing teams.
2. Provide proactive and reliable compliance advice regarding advertising and distributing consumer wealth products.
3. Sign off periodic and ad hoc materials (customer & advisor facing) adhering to APRA, ASIC and OAIC guidelines.
4. Perform compliance assessments to identify immediate and emerging risks and develop a framework for incidents management and ongoing monitoring.
5. Promote a rigorous, forward-thinking and practical approach to the Group’s Digital & Marketing Compliance Framework in line with regulatory changes.
6. Perform targeted reviews of key risks and controls.
7. Run workshops and compliance training to share learnings and best practices with both the Business and the Risk & Compliance teams.
8. Lead the implementation of an effective compliance framework and operating model within Consumer Bank Compliance, contributing to the team’s credibility.

Skill Requirements:

1. 5 years of recent compliance, risk assurance or legal experience in Financial Services (preferably in Wealth Management).
2. Degree qualified in Business, Finance, or Legal.
3. Pragmatic operator who can thrive in a highly dynamic commercial environment and get their hands dirty.
4. Can think on your feet in the best interest of the business while maintaining a strong compliance mindset.
5. Strong project management and F2F stakeholder influencing skills.
6. Understanding of relevant laws, regulations and regulatory guides underpinning a Financial Advice business (Corporations Act Chapter 7, Privacy Law, Conflict of Interest, ASIC Regulatory Guides, OAIC etc.)