Quality & Compliance Manager – General Advice

Company Overview 

The Advice arm of this major Financial Services group is going through significant change and is reviewing its compliance and risk frameworks. As a result they have created this role to review the existing framework surrounding the general advice team and make and implement recommendations to significantly overhaul it.
Role Overview 

Working with the Head of General Advice you will hire your own team, review the existing framework and make recommendations to improve it. Along with your team, you will them implement the framework and ensure obligations are met in line with both regulatory standards and the company’s ‘customer first’ philosophy.

  • Help embed a culture of quality and compliance, ensuring that the team meets company and regulator expectations through a structured framework
  • Ensure the quality and compliance framework remains current via reviews against changes in legislation, company policy and business appetite
  • Monitoring and supervision of activities undertaken in the general advice teams with effective feedback loops to ensure continuous improvement
  • Incident/breach/complaints management (in conjunction with relevant line 2 teams)
  • Work with relevant teams to deliver quality and compliance training to teams (including induction of new members and regular structured ongoing training)
  • Build, maintain and update internal policies, processes and procedures
  • Prepare insightful and accurate reporting for relevant stakeholders
  • Act as a delegate for the Head of General Advice on occasion.


The role requires expertise in building and developing risk frameworks in a general advice environment.

  • 5 years’+ previous financial services industry experience in risk and compliance, with an emphasis on the provision of general advice (required) as well as credit assistance (ideally)
  • Experience in building risk frameworks
  • Experience in managing a team (Required) across multiple locations(ideally)
  • RG 146 compliance (required)

Please apply for this role by following the prompts below or contact Alison Loader on 02 9240 6360 for an in depth discussion.

Quality & Compliance Manager - General Advice

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