AFSL Compliance Lead - Remote AU Advice

SourceU; Metro Manila; Remote; PHP 1,225,000 - 1,715,000; Full time

Benefits offered by this job

Fully remote role

Direct access to business owner

30/60/90 day plan

Job summary

SourceU is seeking an AFSL Compliance Officer to own day-to-day compliance for an Australian financial advice practice. You will review SOAs, audit files, manage incidents and keep procedures current as regulations change, while working remotely from the Philippines.

This independent role reports to the business owner and requires hands-on AFSL experience, ASIC knowledge, and strong written communication. You’ll overlap Australian hours and be paid in AUD.

Qualifications

• 5+ years' experience in AFSL compliance within Australian financial advice or financial services
• Hands-on experience reviewing SOAs and auditing advice files
• Working knowledge of ASIC requirements and the financial advice regulatory environment
• Strong written communication and attention to detail
• Ability to work independently and manage competing deadlines

Responsibilities

• Compliance management
• Coordinate daily compliance activities in line with the practice's AFSL obligations and compliance framework
• Maintain compliance registers, checklists, procedures and supporting documentation
• Monitor adviser and staff compliance tasks, including training, authorisations and CPD
• Track regulatory changes and update internal processes and templates
• File audits and advice review
• Run internal file audits, both before advice is issued and after implementation
• Review Statements of Advice (SOAs) for completeness, accuracy and compliance
• Log file deficiencies, document remediation actions and follow up until they're closed
• Keep a file review register and give feedback to advisers and paraplanners
• Risk, breaches and reporting
• Record and manage incidents, complaints and breaches, and elevate where required
• Support external audits and requests from the licensee or compliance provider
• Maintain compliance manuals, SOPs and operational controls
• Report regularly to the owner on compliance status and outstanding items

Skills

Attention to detail

Strong written communication

Independent work

Time management

AFSL compliance experience

Education

Qualification in financial planning or compliance or risk management

Tools

AdviserLogic

Marloo

Job description

SourceU is seeking an AFSL Compliance Officer to own day-to-day compliance for an Australian financial advice practice. You will review SOAs, audit files, manage incidents and keep procedures current as regulations change, while working remotely from the Philippines.

This independent role reports to the business owner and requires hands-on AFSL experience, ASIC knowledge, and strong written communication. You’ll overlap Australian hours and be paid in AUD.