Our client is a thriving financial services firm with over 200 dedicated staff, including a team of 40 talented financial advisors, committed to delivering exceptional wealth management and financial planning solutions. We are seeking an enthusiastic Compliance Officer to champion compliance, training, and development, ensuring the advisors excel while maintaining the highest regulatory standards.

The Role:

As a Compliance Officer, you will be at the heart of the companies mission to get the best out of the advisor team. This role is not about disciplining for non-compliance but about inspiring and equipping the 40+ advisors to succeed through proactive training, development, and support. You will guide them to produce better, more accurate client files, driving continuous improvement and ensuring exceptional client outcomes while adhering to regulatory requirements.

Key Responsibilities:

Design and deliver engaging training programs to enhance advisor’s understanding of regulations, compliance best practices, and client file accuracy.

Provide hands-on support to our 40 advisors, fostering a culture of excellence through coaching and development to improve their skills and performance.

Review and monitor client files, suitability reports, and financial promotions, offering constructive feedback to ensure ongoing improvement in quality and compliance.

Develop and implement compliance policies that empower advisors to deliver outstanding client service while meeting regulatory standards.

Conduct risk assessments and audits, focusing on proactive solutions to strengthen advisory processes and client documentation.

Collaborate with senior management and advisors to address compliance queries, share insights, and drive positive change.

Keep the advisory team informed about regulatory updates, translating requirements into practical, actionable steps to enhance their work.

Support internal and external audits, ensuring compliance documentation is accurate and reflects our commitment to continuous improvement.

What We’re Looking For:

Proven experience as a Compliance Officer in financial services, ideally with a focus on supporting and developing financial advisors.

Deep knowledge of regulations and financial planning processes, particularly around client file standards and suitability.

Passion for training and development, with a talent for motivating and upskilling teams to achieve their best.

Outstanding communication and coaching skills, able to inspire advisors and provide clear, constructive feedback.

Analytical mindset with a keen eye for detail and a proactive approach to improving processes.

Ability to thrive in a collaborative, fast-paced environment, balancing training, compliance, and advisory support.

Salary is dependent on experience but will be in the range of $95k to $120k + Super + BONUS + Incentives

The company is looking to grow significantly over the years to come and this role will increase in responsibility and salary if desired.