Manager Adviser Review

Colonial First State; Sydney; Presencial; AUD 140 000 - 200 000; Tempo integral

Vantagens oferecidas por esta oferta de emprego

Employer Super

Discounts on home loans and banking

24/7 confidential support

Birthday leave

Life Leave

Retail discounts

Resumo da oferta

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

Qualificações

• 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.

Responsabilidades

• 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.

Conhecimentos

Financial advice governance

Regulatory oversight

AFSL supervision

Issue management

Stakeholder influence

Analytical & reporting

AI-enabled tools usage

Formação académica

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

Ferramentas

AI analytics tools

Descrição da oferta de emprego

Are you ready to be part of an organisation that values expertise, passion and diversity? At CFS we know that the foundation of our success lies in our exceptional people. We believe in celebrating individuality, have a passion for high performance and creating an environment where you can unleash your full potential. Our people enable us to make a difference and deliver exceptional experiences to help our customers achieve financial freedom.

Your Team

The Adviser Governance team is part of CFS's Distribution, which is accountable for managing the risks arising from the distribution of CFS products through third-party advice licensees, while supporting sustainable distribution and protecting member outcomes

The Manager, Adviser Review plays a lead role in the onboarding and ongoing monitoring of third-party advice licensees and advisers, applying specialist expertise to strengthen governance. Through effective issue management and thematic insights, the role supports member protection and provides assurance to senior leadership and Boards.

Your Responsibilities

• Execute the adviser governance strategy for third-party advice licensees and advisers in line with regulatory obligations, industry standards and CFS risk appetite.
• Lead adviser governance activities supporting the onboarding, monitoring and review of third-party advice licensees and advisers, including interpreting AI-generated advice file findings and supporting evidence.
• Apply professional judgement to assess the significance of identified issues, potential member detriment, matters relevant to the Trustee and broader systemic implications.
• Distinguish minor process or documentation issues from emerging conduct risks, harmful advice practices and matters requiring escalation or intervention.
• Identify patterns, root causes, control weaknesses and thematic risks, providing clear insights and recommendations to the Director.
• Engage AFSL owners, Responsible Managers and other senior stakeholders to communicate findings, set expectations and secure commitment to proportionate corrective action or remediation.
• Monitor agreed actions to completion and elevate matters that are not appropriately addressed, including recommendations to the Adviser and Licensee Oversight Committee.
• Partner with Distribution, Product, Risk, Compliance, Legal and Trustee teams to deliver aligned, member-focused governance outcomes.
• Coach others and promote accountability, risk awareness and high professional standards across adviser governance activities.
• Use AI and emerging technologies to automate and scale processes, improve operational effectiveness and enhance business capability.
• Identify thematic capability gaps and recommend targeted education initiatives for third-party advisers.

Your Capability and Experience

• Deep knowledge of financial advice, advice file compliance and the regulatory framework governing third-party adviser and licensee oversight.
• Demonstrated experience in advice governance, compliance or a related financial services function, including AFSL supervision and monitoring, control environments, incident and breach management, and remediation.
• Demonstrated ability to examine advice files and supporting evidence, identify root causes and assess issues through the lens of Trustee obligations, member outcomes, potential harm and systemic implications.
• Sound professional judgement, with the ability to translate complex findings into clear, practical and defensible recommendations.
• Proven ability to influence AFSL owners, Responsible Managers, executives and governance and risk leaders through credibility and judgement rather than formal authority.
• Highly developed analytical, investigative and communication skills, including conducting sensitive discussions and preparing concise, decision-ready reporting for senior leaders and governance forums.
• Demonstrated ability to collaborate across internal teams to deliver aligned governance outcomes.
• Demonstrated capability in using AI-enabled tools, analytics or process automation within a risk, compliance or financial advice environment.
• Relevant tertiary or professional qualifications in financial advice, law, risk, compliance or a related discipline, with RG146 compliance or a higher relevant qualification.

What to Expect

At CFS, you'll be working among the very best in the wealth management industry. It's an inspiring environment that encourages development and celebrates success. Other things to look forward to:

• Access to CFS Employer Super, which offers an expansive investment menu and flexible insurance solutions
• Support with financial services, including discounts on home loans and daily bank accounts through our partnership with a leading financial institution
• Access to 24/7 confidential support covering safety, medical and mental health services
• Additional leave day to celebrate your birthday
• Life Leave - 3 days per annum to focus on your wellbeing or celebrate a special event
• Exclusive discounts on retail, travel and entertainment

CFS Culture

At CFS we are committed to creating a thriving environment where individuals can flourish. We believe that success is built upon strong teams, and we are dedicated to celebrating uniqueness, championing individuality and supporting a diverse and inclusive workforce. We believe that when you can truly be yourself, you can unlock your full potential.

Please note, CFS requires all candidates to have full work rights in Australia.

Where we have preferred candidates, background checks (including Police, Employment, Bankruptcy checks, ASIC banned and disqualified persons) will be completed prior to the final preferred candidate's employment being confirmed. The outcomes of the background checks do not preclude the preferred candidate, however, they will be assessed against the inherent requirements of the role.

This role is based on Gadigal Land (Sydney).