Compliance Manager - Wealth

  • Location

    Sydney, New South Wales

  • Sector:

    Banking & Financial Services

  • Job type:


  • Salary:


  • Contact:

    Andrew Rogers

  • Contact email:

  • Job ref:


  • Published:

    10 months ago

  • Expiry date:


The Opportunity

You might be looking for a new compliance role because this year has reset your priorities. You might just be keeping your options open. You might be looking for a new compliance role because you have to. Whatever the reason, you should join a business that puts its people and customers first. A business whose reputation for innovation, profitability and quality spans decades.

This is that business.

One of Australia's leading financial services providers are currently looking for a Compliance Review Manager for their exceptional wealth management division.

The Role

Joining a well resourced and highly regarded compliance and risk management function, you will play a pivotal role in maintaining and developing the firm's ongoing compliance monitoring program through a combination of surveillance and advisory support to the business:

  • You will design and deliver the compliance monitoring program for licensees
  • Advise key stakeholders on their obligations and conduct reviews of files to ensure compliance
  • Identify and escalate risks, incidents and breaches
  • Support the implementation of compliance testing and training

In Return

You can expect an environment that values exceptional performance and encourages change and innovation. You will be a part of an organisation that are known for the quality of their service and product offerings, whilst maintaining excellent levels of capital, low risk and strong international presence. In addition, you will receive a competitive package, excellent training and development and the potential for international secondments in future.


If you would like to be considered for this role, please contact Andrew Rogers on +61 (0)2 9236 9002 or Equally, if this role isn't right for you but you would like to discuss the market in general, please get in touch.

Please note, that currently we can only take forward applications for those who currently hold the right to work in Australia.

Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.

For a full review of our active roles, please visit our website at

Taylor Root is part of the The Specialist Recruitment Group PTY LTD, which is acting as an Employment Agency in relation to this vacancy.

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