senior manager - professional standards - compliance in brisbane cbd

job type
AU$ 200,000 per year
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job details

brisbane cbd, queensland
job category
banking & financial services
job type
working hours
AU$ 200,000 per year
reference number
apply now

job description

The Company

This is a business that strives for perfection in everything that they do putting the client’s needs first. They are a large National Licensee that are going through further growth and are in need of a Senior Manager for the Professional Standards team.

The Role

This role will be reporting to the General Manager of Operations see you managing a team of Compliance and Professional Standards specialists. You will be responsible for supporting and supervising the work and activities of Advisers operating under the clients AFSL and ACL.

  • Managing compliance risks within the Practices of our clients.
  • Developing systems, guidelines and policies for Advisers ensuring training of relevant and efficient solutions and protecting the reputation and brand of the client.
  • You will need to guide and lead the existing team through training and development needs.

Your Experience

You must have at least 4 years management experience within a compliance function in the Financial Planning industry

  • Detailed and intricate understanding of the Financial Planning Industry and Advice processes.
  • Previous experience with, Legal, regulation or auditing of the Financial Planning industry.
  • Understanding of different Financial Services, product types and how they are used.
  • Previous experience in a similar role with another dealer group in a Compliance related role.
  • Tertiary qualification in a related field such as Business, Law or Finance.
  • CFP qualified (Preferred)

Your personal skills

To be successful in this role you will need very good communication and influencing skills liaising with key stakeholders both internal and external.

  • Self motivated and driven with a keen approach to identify risk and remedies for change.
  • Strong organisational skills, ability to work under pressure and showing resilience when dealing with multiple things at once working to tight deadlines.
  • Above all passionate and encouraging leader and motivator of staff to drive best results.

To apply online, please click on the appropriate link. Alternatively, please contact Phil Smith, or call directly on 0416576473

At Randstad, we are passionate about providing equal employment opportunities and embracing diversity to the benefit of all. We actively encourage applications from any background.


Senior Manager Professional Standards



educational requirements

Bachelor Degree