JS Careers is currently partnering with a high-performing boutique financial services group to recruit an experienced Compliance Manager. This is a fantastic opportunity for a hands-on compliance professional to step into a key role within a growing, purpose-led wealth and investment firm.

About the Role

Reporting to the Head of Legal, this position plays a critical role in maintaining and enhancing the group’s compliance and governance frameworks, including oversight of their AFSL obligations. The role will suit someone who thrives in a collaborative environment and enjoys both strategic and operational elements of compliance.

You’ll be the go-to for compliance reporting, committee governance, and regulatory engagement – with exposure across investment management, advice services, and corporate functions.

Key Responsibilities

Monitor compliance with the group’s AFSL obligations and maintain the compliance calendar

Manage key registers (breaches, complaints, policies, gifts, personal trading, conflicts of interest)

Prepare and submit regulatory reports (ASIC, CFTC, AUSTRAC, IDR etc.)

Deliver compliance induction and RG146 training

Act as secretary for internal risk and governance committees

Support external audits, regulatory exams and due diligence processes

Review promotional and marketing materials for regulatory alignment

Lead process improvements across compliance and risk functions

What We’re Looking For

Minimum 3+ years’ compliance experience within financial services (ideally AFSL environments)

Strong understanding of risk and governance processes

Excellent communication and stakeholder engagement skills

Detail-oriented, organised and able to manage competing priorities

Comfortable operating in a dynamic and growing business

Why This Role?

Opportunity to work closely with senior leadership and gain broad exposure

Join a values-driven team with a strong reputation in the market

Mix of strategic input and hands-on compliance delivery

Supportive, collaborative culture and long-term career prospects

If you're a compliance professional looking to make your mark in a high-quality firm where your contribution will be valued, please apply or contact Troy Geddes at [email protected].