head of compliance in Sydney CBD

Sydney CBD, New South Wales
job type
AU$ 180,000 per year
reference number
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job description

Head of Compliance

  • CBD Based
  • Up to 220K
  • Medium Sized Dealer Group

The Company

Medium sized dealer group with head office in the Sydney CBD. They have a friendly culture and are well supported with funding and resources. The group is expanding their advisor numbers and are performing well in an industry with constant change. In relative terms, they are a new business with innovative ideas and are forward thinking.

The Role

Managing a team of 5 compliance professionals, you will be leading a team of five staff and report directly to the GM. A main focus for the role is to enhance the policy and procedures of the business and communicate this out to the advisor network. Audits, Education and Pre-vetting are also core responsibilities for the team. Remediation work is a current project on the team. You will be innovative and forward thinking. Leadership is needed.

Your Experience

Management of a small to large compliance team in the Financial Planning industry

Policy and Procedure Experience

Stakeholder Management Experience

To apply online, please click on the appropriate link. Alternatively, please contact Scott Sherwood on 02 8298 3810


Manager Compliance Audit
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