Governance Lead, Adviser Review & Compliance

Colonial First State; Sydney; Vor Ort; AUD 140.000 - 200.000; Vollzeit

Benefits dieser Stelle

Employer Super

Discounts on home loans and banking

24/7 confidential support

Birthday leave

Life Leave

Retail discounts

Zusammenfassung

Colonial First State is seeking an experienced Manager, Adviser Review to oversee onboarding, monitoring, and governance of third-party advisers and licensees. You will apply specialist expertise to enhance member outcomes and strengthen governance across the distribution channel.

You will interpret AI findings, manage incidents, and provide concise, decision-ready reporting for senior leaders. The role emphasizes collaboration across risk, compliance and legal teams in a wealth management

Qualifikationen

• Deep knowledge of financial advice and regulatory framework for third-party oversight.
• Experience in advice governance, compliance or related financial services including supervision and remediation.
• Ability to translate complex findings into practical, defendable recommendations.

Aufgaben

• Execute adviser governance strategy for third-party licensees in line with regulatory obligations.
• Lead onboarding, monitoring and review of advisers, interpreting AI-generated findings.
• Assess issues for materiality, trustee obligations and member outcomes.
• Identify root causes, control weaknesses and systemic risks, recommending actions.
• Engage AFSL owners and executives to communicate findings and secure remediation.
• Monitor actions to completion and escalate when needed.
• Collaborate with Distribution, Risk, Legal and Trustee teams to achieve governance outcomes.
• Mentor teams to promote risk awareness and accountability.
• Leverage AI/automation to improve processes and performance.
• Identify education needs for third-party advisers.

Kenntnisse

Financial advice governance

Regulatory oversight

AFSL supervision

Issue management

Stakeholder influence

Analytical & reporting

AI-enabled tools usage

Ausbildung

Tertiary or professional qualification in financial service/Law/Risk/Compliance

Tools

AI analytics tools

Jobbeschreibung

Colonial First State is seeking an experienced Manager, Adviser Review to oversee onboarding, monitoring, and governance of third-party advisers and licensees. You will apply specialist expertise to enhance member outcomes and strengthen governance across the distribution channel.

You will interpret AI findings, manage incidents, and provide concise, decision-ready reporting for senior leaders. The role emphasizes collaboration across risk, compliance and legal teams in a wealth management