Compliance Manager

Position Summary

As part of the Compliance team at Focus Partners Australia, you will play a key role in delivering independent and objective assurance and consulting services that enhance the organisations operations. Your primary responsibility will be to lead our assurance audit program, including delivery of training on licensee standards, policies, and procedures to ensure compliance and consistency across the business.

You will oversee post-assurance review follow-ups, identify training gaps, and develop and implement targeted training plans. The role also includes maintaining risk registers, preparing reports for internal stakeholders, and supporting continuous improvement in risk management, internal controls, and governance practices.

You will act as a key point of contact for internal stakeholders, providing day to day guidance and support in interpreting relevant legislation and regulatory requirements. This includes assisting teams with the practical application of legal and compliance obligations within the financial planning process and ensuring the effective implementation of policy and procedural updates. Your expertise will help drive consistent, compliant practices across the business and support informed decision making in the delivery of financial planning services.

This role is located in Sydney, AUS or Melbourne, AUS.

Primary Responsibilities

• Provide independent and objective assurance over the advice process for both financial and credit advice files;
• Conduct post review debriefs with relevant stakeholders to discuss audit findings, identify areas for improvement, and ensure clarity on required actions;
• Deliver targeted training sessions based on review outcomes to support continuous improvement and reinforce compliance with policies, procedures, and regulatory requirements;
• Assist in preparing comprehensive reports based on audit review findings and post-review actions for presentation to internal Risk and Compliance Committees and the Board, ensuring timely, accurate, and insightful reporting to support effective governance and decision making;
• Review and analyse key risk and incident registers to identify trends, provide insights, and offer feedback on opportunities for strengthening risk management practices, including support for problem resolution, root cause analysis, and operational improvement initiatives;
• Establish and conduct independent testing of internal risk and obligation controls to assess compliance with regulatory and internal requirements. Provide feedback on control effectiveness, highlight any gaps or weaknesses, and make recommendations to support operational improvements and risk mitigation;
• Support business change initiatives by assisting in the rollout and delivery of process changes, ensuring effective control frameworks are considered and embedded;
• Conduct assurance reviews in line with the established review schedule, ensuring timely completion and regular reporting on progress, findings, and any delays or issues to relevant stakeholders;
• Assist in updating and maintaining key risk and compliance registers to ensure information remains accurate, current, and aligned with regulatory and internal reporting requirements;
• Assist with day-to-day operational queries from internal stakeholders, providing guidance and support to ensure alignment with compliance obligations, internal policies, and risk management practices.
• Provide ongoing support and assistance to the Head of Compliance in managing compliance activities, coordinating projects, and facilitating communication across teams.

Qualifications

Focus is a leading partnership of fiduciary wealth management and related financial services firms. Focus provides access to best practices, greater resources, and continuity planning for its affiliated advisory firms, which serve individuals, families, employers, and institutions with comprehensive financial services. Focus firms and their clients benefit from the solutions, synergies, scale, economics, and best practices offered by Focus to achieve their business objectives. For more information about Focus, please visit www.focusfinancialpartners.com .

For California Applicants :

Information on your California privacy rights can be found here

For Indiana Applicants :

It is unlawful for an employer to discriminate against a prospective employee on the basis of status as a veteran by refusing to employ an applicant on the basis that they are a veteran of the armed forces of the United States, a member of the Indiana National Guard or a member of a reserve component.

For Maryland Applicants :

I UNDERSTAND THAT UNDER MARYLAND LAW, AN EMPLOYER MAY NOT REQUIRE OR DEMAND, AS A CONDITION OF EMPLOYMENT, PROSPECTIVE EMPLOYMENT OR CONTINUED EMPLOYMENT, THAT ANY INDIVIDUAL SUBMIT TO OR TAKE A POLYGRAP OR SIMILAR TEST. AN EMPLOYER WHO VIOLATES THIS LAW IS GUILTY OF A MISDEMEANOR AND SUBJECT TO A FINE NOT EXCEEDING $100.

For Massachusetts Applicants :

It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this shall be subject to criminal penalties and civil liability.

For Montana Applicants :

If hired, the employment relationship is governed by the Wrongful Discharge from Employment Act. Mont. Code Ann. Section 39-2-901.

For Rhode Island Applicants :

Focus is subject to Chapters 29-38 of Title 28 of the General Laws of Rhode Island and is therefore covered by the state’s workers’ compensation law. If you willfully provide false information about your ability to perform the essential functions of the job, with or without reasonable accommodations, you may be barred from filing a claim under the provisions of the Workers’ Compensation Act of the State of Rhode Island if the false information is directly related to the personal injury that is the basis for the new claim for compensation. The Company complies fully with the Americans with Disabilities Act.

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