Risk & Compliance Manager

Capital Haus; Sydney; On-site; AUD 140,000 - 190,000; Full time

Job summary

Capital Haus Group (CHG) is a leading Australian financial services provider, seeking a Risk and Compliance Manager to oversee risk management and compliance frameworks across AFSLs. Based in Sydney, you will supervise adviser programs, conduct file reviews, and manage incident/breach processes while balancing regulatory requirements with business growth.

The role reports to the CRCO and collaborates with Responsible Managers and business teams to ensure regulatory obligations are met and

Qualifications

• Degree in Law, Finance, Commerce, or related discipline
• 5+ years' experience in risk, compliance or governance within financial services
• Experience in AFSL environments with Corporations Act 2001, ASIC guidelines, AML/CTF obligations
• Experience supporting adviser networks and financial advice businesses
• Exposure to incident management, breach reporting and risk frameworks

Responsibilities

• Oversee day-to-day compliance monitoring across AFSLs
• Develop and execute adviser monitoring and supervision programs
• Conduct advice file reviews and compliance monitoring activities
• Maintain compliance frameworks, policies and procedures
• Support pre- and post-vetting and risk-based supervision
• Monitor adviser conduct, compliance obligations and CPD/regulatory standards
• Assist adviser onboarding, authorisation and due diligence
• Assist in risk management framework implementation and maintenance
• Maintain risk registers and remediation tracking
• Support governance reporting to executives and committees

Job description

Capital Haus Group (CHG) is a leading Australian Financial Services provider offering advice, trading, wealth management and technology solutions through its two AFSL businesses:

Operating across multiple offices nationally, CHG provides an integrated ecosystem of financial advice, investment, trading and wealth management solutions to high-net-worth individuals, family offices, investors and advisers.

As a growing and evolving financial services group, CHG is committed to maintaining strong governance, risk management and compliance practices while supporting innovation, business growth and adviser success.

About the Role

Reporting directly to the Chief Risk and Compliance Officer (CRCO), the Risk and Compliance Manager plays a critical role in supporting the development, implementation and ongoing operation of Capital Haus Group's risk management and compliance frameworks across both AFSLs.

The role is responsible for overseeing day-to-day compliance monitoring activities, adviser supervision programs, incident and breach management processes, policy implementation, regulatory change management and risk reporting. A big part of this role will include advice file reviews and audits.

This position works closely with Responsible Managers, Authorised Representatives, business leaders and operational teams to ensure regulatory obligations are met while supporting commercial outcomes and sustainable business growth.

The successful candidate will be a pragmatic, self-driven and solutions-focused compliance professional who can effectively balance regulatory requirements with commercial realities.

Location and Travel

Location: Sydney

Travel: Periodic interstate travel may be required across CHG offices

Key Responsibilities

Compliance monitoring and supervision

Support the development and execution of adviser monitoring and supervision programs across both AFSLs.

Conduct advice file reviews, and compliance monitoring activities.

Assist with maintaining compliance frameworks, policies and procedures

Support pre-vetting, post-vetting and risk-based supervision programs.

Monitor adviser conduct, compliance obligations and competency requirements.

Track adviser CPD obligations and professional standards requirements.

Assist with adviser onboarding, authorisation and ongoing due diligence processes.

Assist in the coaching, development and upskilling of advisers.

Support the implementation and maintenance of the Enterprise Risk Management Framework.

Facilitate risk assessments across business units.

Maintain risk registers and monitor remediation activities.

Assist in identifying emerging compliance, operational and conduct risks.

Assist in the management and review of the AML/CTF Program.

Support business continuity, operational resilience and control effectiveness reviews.

Incident & breach management and complaints

Support in the management of incident and breach reporting framework.

Investigate compliance incidents and reportable situations.

Conduct root-cause analysis and remediation monitoring.

Prepare regulatory reporting documentation and breach assessments.

Escalate material issues to the CRCO

Management AFSL complaints process

Governance and Reporting

Prepare risk and compliance reporting for management and committees

Assist in the preparation of ORC Committee papers and reporting packs

Maintain key compliance registers, including breach register, complaints register, conflict register, gifts and benefits register etc

Support Responsible Managers in meeting AFSL obligations

Assist with adviser recruitment due diligence and ongoing fit and proper assessments

Help foster a strong culture of compliance, ethical conduct and accountability

Provide practical compliance support to business units and advisers

Skills and Experience

Degree in Law, Finance, Commerce, Business or a related discipline

Compliance, risk management or governance qualifications highly regarded

5+ years' experience in risk, compliance or governance within financial services

Experience working within an AFSL environment with strong understanding of Corporations Act 2001, AFSL Obligations, ASIC Regulatory Guides, AML/CTF obligations, Managed Discretionary Accounts (desirable)

Experience supporting adviser networks and financial advice businesses.

Exposure to incident management, breach reporting and risk frameworks.

You must have full working rights to be considered for this role, unfortunately we are unable to provide sponsorship at this time.