Quality & Compliance Standards Lead

Centrepoint Group of Companies; Sydney; On-site; AUD 120,000 - 170,000; Full time

Benefits offered by this job

Excellent employee benefits program

Performance-based incentives

Flexible working arrangements

Job summary

Centrepoint Alliance is seeking a Professional Standards Manager in Sydney to promote high-quality financial advice and strong compliance practices across our adviser network. You will monitor AFSLs, conduct audits and pre-vets, and provide practical coaching to strengthen advice quality.

You will lead remediation efforts, manage escalations, and contribute to risk-based supervision programs. This role offers flexible working and an opportunity to shape governance in a prominent ASX-listed

Qualifications

• Advanced knowledge of AFSL compliance and adviser audits.
• Experience in financial planning processes and SOPs.
• Strong written and verbal communication with the ability to influence.

Responsibilities

• Conduct audits and pre-vets of financial planning advice files.
• Provide clear feedback and coaching to advisers.
• Determine remediation requirements and assist advisers to complete actions.
• Manage escalated compliance queries and pre-vet disputes.
• Identify and escalate material advice risks.
• Contribute to risk-based supervision 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.
• Contribute to continuous improvement of audit methodologies.

Skills

Auditing

Adviser coaching

Compliance management

Education

Advanced Diploma of Financial Services

University degree in related field

Tools

XPLAN

Job description

Centrepoint Alliance is seeking a Professional Standards Manager in Sydney to promote high-quality financial advice and strong compliance practices across our adviser network. You will monitor AFSLs, conduct audits and pre-vets, and provide practical coaching to strengthen advice quality.

You will lead remediation efforts, manage escalations, and contribute to risk-based supervision programs. This role offers flexible working and an opportunity to shape governance in a prominent ASX-listed