Head of Professional Standards

Centrepoint Group of Companies; Sydney; Hybrid; AUD 190,000 - 270,000; Full time

Benefits offered by this job

Excellent Employee Benefits Program

Hybrid working model with WFH days

Challenging role with incentives

ASX-listed company

Job summary

Centrepoint Alliance is seeking a senior professional standards leader to drive our adviser audit, pre-vet and file review programs across our licensed adviser network. You will strengthen advice quality, manage complex compliance matters and lead a team of professionals to deliver practical, outcomes-focused controls.

You will oversee audits, provide coaching, and collaborate with Legal, Risk and business leaders to translate regulatory requirements into actionable improvements.

Qualifications

• Extensive experience in financial advice compliance and professional standards.
• Proven ability to lead and develop a high-performing team.
• Strong understanding of Australian financial services laws and AFSL obligations.
• Experience overseeing adviser audits and pre-vet processes.
• Excellent written and verbal communication skills.
• Ability to translate regulatory changes into practical actions.

Responsibilities

• Lead adviser audit and pre-vet program delivery.
• Oversee file audits for self-licenced advisory businesses.
• Ensure audits and reviews are efficient and of high standard.
• Identify non-compliance and high-risk advice and escalate when needed.
• Develop and coach a team of Professional Standards managers.
• Establish performance expectations and scorecards.
• Monitor regulatory developments and translate into actions.
• Oversee systems used by the audit team and supplier arrangements.
• Support adviser recruitment and growth activities.
• Flexibility to be based in Brisbane, Gold Coast or Sydney with travel.

Skills

Financial services compliance

Adviser supervision

People leadership

Regulatory knowledge

Risk assessment

Stakeholder management

Education

Financial services regulation qualification

Compliance or risk qualification

Tools

Xplan

Job description

Lead professional standards. Strengthen advice quality. Build a high-performing team.

Centrepoint Alliance, an ASX-listed financial services company, is seeking an experienced financial services compliance leader to lead our Professional Standards function and the delivery of our audit, pre-vet and file review programs.

This is a senior leadership opportunity for someone who combines deep financial advice compliance expertise with strong people leadership, sound commercial judgement and a practical approach to improving adviser outcomes.

As Head of Professional Standards, you will oversee supervision and monitoring activities across Centrepoint Alliance's licenced adviser network, as well as audit services provided to self-licenced advice businesses.

You will play an important role in strengthening advice quality, identifying and addressing compliance risks, improving systems and controls, and supporting advisers to understand and meet regulatory and licensee standards.

What you'll be doing

Lead the delivery of Centrepoint Alliance's adviser audit and pre-vet programs.

Oversee file audit services provided to self-licenced financial advice businesses.

Ensure audit, pre-vet and review activities are delivered efficiently, consistently and to a high standard.

Identify and address non-compliance, potential breaches, high-risk advice and emerging areas of concern.

Escalate matters for consequence management where appropriate.

Continually improve the supervision and monitoring framework, including the design and operating effectiveness of relevant controls.

Lead and develop a team of Professional Standards Managers and compliance support staff.

Establish clear performance expectations, development plans and scorecards for the team.

Conduct quality and peer reviews and provide constructive coaching and feedback.

Act as a senior subject matter expert on professional standards, advice compliance and compliant business practices.

Manage complex adviser queries and requests that fall outside established licensee standards or guidelines.

Maintain strong relationships with advisers, business leaders, Legal, Risk and other internal stakeholders.

Develop and deliver professional standards training for adviser induction programs, webinars and professional development events.

Monitor regulatory and industry developments and translate them into practical actions for the business and adviser network.

Oversee reporting on audit and pre-vet activity, outcomes, trends and areas requiring improvement.

Act as the business owner for systems used by the audit team and oversee relevant supplier and outsourcing arrangements.

Support professional standards input into adviser recruitment and growth activities.

The flexibility to be based in Brisbane, the Gold Coast or Sydney, with some travel required.

You're right for this if have...

You are an experienced leader within financial advice compliance, professional standards or adviser supervision.

You have strong knowledge of financial services laws, regulatory expectations and the operation of an Australian Financial Services Licence.

You understand how financial advice practices operate and can balance regulatory requirements with practical business considerations.

You can identify risk, exercise sound judgement and provide clear, workable solutions.

You are comfortable managing complex or sensitive compliance matters and constructively challenging stakeholders when required.

You can lead people through change while maintaining engagement, accountability and service quality.

You enjoy coaching others and building the capability of a specialist team.

You communicate complex regulatory and technical matters clearly, both verbally and in writing.

You build trusted relationships with advisers, senior leaders and stakeholders across a business.

You take ownership, follow through and continually look for opportunities to improve systems and processes.

Significant experience in financial advice compliance, professional standards, adviser supervision or a comparable role.

Demonstrated experience delivering or overseeing complex advice file audits and pre-vet activities.

Strong working knowledge of the Australian financial advice regulatory environment and licensee obligations.

Proven people-leadership experience, including performance management, coaching and capability development.

Experience identifying and managing instances of non-compliance, control weaknesses and higher-risk advice.

Strong written communication, stakeholder management and presentation skills.

Demonstrated ability to manage competing priorities and maintain a high level of accuracy and attention to detail.

Experience developing practical processes, controls and reporting within a regulated environment.

Qualifications and additional experience

Relevant financial advice, financial services, compliance, legal, business or risk qualifications will be highly regarded.

Experience with financial planning technology, particularly Xplan, will also be advantageous, along with experience presenting at professional development events, webinars or adviser training programs.

What's on Offer?

Excellent Employee Benefits Program

A challenging and meaningful role with performance based incentives

A hybrid working model with approved working from home days

An open, friendly and passionate environment putting our client at the centre of everything that we do

Growth cycle of business - investing in technology, people and infrastructure

Opportunity to join a well-known Australian ASX listed company

Our purpose is developing and supporting financial advisers. We do this by providing world class technology, services, education, on the ground training, and integrated compliance monitoring to help our advisers build strong, prosperous businesses focused on meeting clients’ needs. In doing this, we build a community of like-minded professionals who benefit not just from the services and resources we provide, but from each other and the network we create.

Our purpose is developing and supporting financial advisers. We do this by providing world class technology, services, education, on the ground training, and integrated compliance monitoring to help our advisers build strong, prosperous businesses focused on meeting clients’ needs. In doing this, we build a community of like-minded professionals who benefit not just from the services and resources we provide, but from each other and the network we create.

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