AFSL Compliance Officer (Australian Financial Advice) | AU Client | Remote

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

AFSL Compliance Officer (Australian Financial Advice) | AU Client | Remote

If you spend your days reviewing SOAs, auditing advice files and keeping an AFSL practice on the right side of ASIC, this role was written for you.

An Australian financial advice business with its own AFSL is expanding and needs a Compliance Officer to own its day-to-day compliance. You'll work remotely from the Philippines and report directly to the business owner. You'll be the person who keeps the practice audit-ready as it grows.

It's an independent role. You'll run the compliance framework, audit client files and advice documents, handle incidents and breaches, and keep procedures current as regulations change. When you spot a problem, you flag it and follow it through until it's closed.

Please note: this role is about Australian financial advice compliance (AFSL, SOAs and advice file audits). It is not an AML, KYC or sanctions screening role, so we can only consider applicants with hands-on AFSL experience.

What you'll do

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

What you'll bring

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

Nice to have

Experience with an Australian licensee or AFSL compliance provider

Qualification in financial planning, compliance, risk management or a related field

Experience writing SOPs and compliance manuals

Familiarity with AdviserLogic and Marloo

What we offer

Full-time, fully remote, for Philippines-based candidates

Hours that overlap with Australian business hours

Paid in AUD: AUD 2,500-3,500 per month, depending on experience

Direct access to the business owner and real ownership of the compliance function

A clear 30/60/90-day plan, so you know what success looks like from day one