Financial Advice Quality & Compliance Lead

Centrepoint Group of Companies; Brisbane; On-site; AUD 110,000 - 150,000; Full time

Benefits offered by this job

Excellent employee benefits program

Performance-based incentives

Flexible working arrangements

Open, client-centered culture

Investing in technology and people

ASX-listed company

Job summary

Centrepoint Group of Companies – Toowong QLD is seeking a Professional Standards Manager to promote high-quality financial advice, strengthen compliance practices and deliver positive client outcomes across the adviser network.

You will monitor Australian Financial Services Licences, conduct file audits and pre-vets, support advisers with complex compliance matters and provide practical coaching to improve advice quality.

Qualifications

• Strong written and verbal communication skills.
• Experience in AFSL compliance role, preferably adviser audits.
• Experience as financial planner, paraplanner or within financial services regulation.

Responsibilities

• Conduct audits and pre-vets of financial planning advice files.
• Provide clear feedback and coaching to advisers.
• Determine remediation requirements and support advisers in completing actions.
• Manage escalated compliance queries, approvals and pre-vet disputes.
• Identify, assess and mitigate advice risks.
• Contribute to risk-based supervision programs and quality assurance activities.
• Support breach assessments and customer remediation matters.
• Prepare reporting on advice-quality trends and adviser conduct.
• Deliver onboarding compliance coaching and training.
• Coach and mentor Professional Standards team members.
• Build relationships with advisers and internal stakeholders.
• Improve audit methodologies and supervision controls.

Skills

Communication skills

Problem solving

Autonomy

Conflict management

Attention to detail

Workflow management

Verbal communication

Education

Advanced Diploma of Financial Services or related university degree

Tools

XPLAN

Job description

Centrepoint Group of Companies – Toowong QLD is seeking a Professional Standards Manager to promote high-quality financial advice, strengthen compliance practices and deliver positive client outcomes across the adviser network.

You will monitor Australian Financial Services Licences, conduct file audits and pre-vets, support advisers with complex compliance matters and provide practical coaching to improve advice quality.