Head of Professional Standards & Adviser Compliance

Centrepoint Group of Companies; Sydney; Hybrid; AUD 190.000 - 270.000; Vollzeit

Benefits dieser Stelle

Excellent Employee Benefits Program

Hybrid working model with WFH days

Challenging role with incentives

ASX-listed company

Zusammenfassung

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.

Qualifikationen

• 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.

Aufgaben

• 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.

Kenntnisse

Financial services compliance

Adviser supervision

People leadership

Regulatory knowledge

Risk assessment

Stakeholder management

Ausbildung

Financial services regulation qualification

Compliance or risk qualification

Tools

Xplan

Jobbeschreibung

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.