Financial Advice - Risk and Compliance Officer

Risk and Compliance Officer - Wealth Management | $130k-$150k package | Sydney CBD

A highly regarded investment and wealth management firm is seeking a talented Risk and Compliance Officer to join its in-house team.

With a strong national presence and the backing of a major global financial group, this organisation offers a rare blend of boutique culture and institutional scale - providing a collaborative, professional, and forward-thinking environment.

The Role

This newly created position will support the business in maintaining high standards of regulatory compliance and advice quality. You'll work closely with advisers, planners, and internal stakeholders to ensure advice practices align with industry and internal standards.

Key Responsibilities

• Conduct adviser and advice reviews (SOAs, ROAs, and related documentation)
• Provide guidance to advisers and support staff on regulatory and compliance matters
• Assist with remediation projects, compliance monitoring, and process improvements
• Contribute to training sessions and the continuous uplift of compliance frameworks

About You

• Minimum 3 years' experience in financial services compliance, advice supervision or remediation
• Sound understanding of advice and distribution obligations for retail and wholesale clients
• Strong stakeholder engagement and communication skills, with the confidence to work closely with front-office teams
• Tertiary qualifications in Law, Commerce, Finance, or a related discipline (preferred)

What's on Offer

• Broad exposure across both risk and compliance in a growing, high-performing business
• Excellent CBD location and modern offices
• Competitive salary package of $130,000-$150,000 (inclusive of super)
• Supportive and social culture with strong leadership and development opportunities

Reference Number: 06800-0013322964

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