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About the Role

This role is expected to make an impact by leading the day-to-day operations of the Advice Governance function, ensuring effective delivery of governance, monitoring, supervision and oversight activities across advice-related matters for NM Super.

Responsibilities

• Maintain and continuously improve Advice Governance frameworks, policies, procedures and controls
• Ensure governance activities are implemented and operated effectively across the business
• Support regulatory and Trustee obligations through effective governance execution
• Identify opportunities to strengthen governance practices and control effectiveness, ensuring linkage and clear operating principles with Advice, Investment and Product Governance.
• Lead the effective operation and governance of the Licensee and Adviser Governance Committee (LAGC)
• Oversee the preparation of quarterly and ad hoc committee papers, reporting and supporting documentation
• Facilitate committee meetings and ensure actions, decisions and governance outcomes are appropriately documented and tracked
• Coordinate stakeholder input and support effective oversight of advice governance matters
• Support responses to regulatory reviews, requests and enquiries
• Maintain awareness of regulatory developments and assess impacts on governance processes
• Support engagement with regulators, Trustee Office, Risk and Compliance teams as required
• Assist with implementation of regulatory and governance uplift initiatives
• Oversee advice file reviews, sampling frameworks and supervision programs
• Lead investigations into advisers and licensees, identifying misconduct and control weaknesses
• Ensure effective oversight of advice fees, conduct and customer outcomes
• Deliver high-quality, insight-led reporting to senior management, governance forums and Trustee Board
• Manage the preparation and governance of quarterly and ad hoc Licensee and Adviser Governance
• Present governance findings and recommendations to senior stakeholders
• Ensure reporting is accurate, timely and supported by robust analysis
• Lead and develop a team of Advice Governance professionals including managers, senior specialists and specialists
• Set priorities and manage workload across governance, monitoring, investigations and uplift activities
• Build technical capability and governance expertise across the team
• Create a high-performance culture focused on regulatory excellence and member outcomes
• Own compliance monitoring and governance assurance frameworks
• Identify emerging risks and regulatory developments, advising senior leadership accordingly
• Drive automation, data-led insights and AI-enabled governance improvements
• Strengthen control effectiveness and operational scalability

Requirements

• Extensive experience, 8+ years, working in financial services with management experience and deep expertise in advice governance, compliance, supervision or risk management
• Demonstrated experience leading governance, compliance or supervision functions, preferably within wealth, superannuation or advice ecosystems
• Ability to deliver results through others via effective leadership and coaching
• Strong experience engaging directly with regulators (ASIC/APRA), including responding to reviews, regulatory requests and supervisory activities
• Experience preparing the development of business plans and presenting reporting to senior executives, Trustee Boards and governance committees
• Deep practical experience across: Advice file reviews, supervision and monitoring frameworks; Adviser and licensee investigations; Governance frameworks, policies and control design; Risk identification, remediation and control uplift; Successful management and implementation of regulatory changes
• Demonstrated ability to operationalise regulatory and legislative requirements into practical business implementation
• Experience in identifying, assessing and addressing operational risk
• Strong understanding of: Corporations Act (financial advice obligations); Superannuation Trustee obligations and advice fee governance; Line 1 / Line 2 risk and compliance operating models
• Strong understanding of the regulatory and compliance regime for financial services
• Understanding of competitors propositions and industry trends, as they relate to the wealth management, in particular platforms environment.
• Adapt from BAU to the ambiguous with ease
• Commitment, grit and growth mindset
• Ability to jump in and deliver across a variety of areas
• Ability to hold their own

Skills

• Advice Governance
• Compliance
• Supervision
• Risk Management
• Leadership
• Coaching
• Regulatory Engagement
• Business Planning
• Reporting
• Governance Frameworks
• Policy Development
• Control Design
• Risk Identification
• Remediation
• Control Uplift
• Regulatory Change Management
• Operational Risk Assessment
• Corporations Act
• Superannuation Trustee Obligations
• Advice Fee Governance
• Line 1 / Line 2 Risk and Compliance Operating Models
• Automation
• Data-led Insights
• AI-enabled Governance

Location

• Australia
• New Zealand

Work Type

• Full-time

Experience Level

• 8+ years in financial services
• Management experience

Education Level

• Appropriate tertiary qualifications in governance, risk or compliance desirable

Benefits

• Health and wellbeing support

About the Company

• AMP is a financial services company helping people with their banking, super, retirement and finances for over 170 years.
• Society is changing, and AMP is too, becoming a nimbler business with new leadership and thinking.
• AMP offers opportunities for big thinkers to redefine financial services and turn its legacy into something positive and powerful for the future.
• AMP believes in the power of inclusion and diversity to spark creativity, ignite innovation, and improve decision-making and performance.
• AMP is committed to enhancing employment opportunities for Aboriginal and Torres Strait Islander people.

Equal Opportunity

• We believe in the power of inclusion and diversity.
• We're dedicated to fostering inclusion, diversity, and a warm feeling of belonging at AMP.
• We're your allies in the search for the perfect fit - when you apply, let us know how we can support you to put your best self forward during our selection process.
• We're also committed to enhancing employment opportunities for Aboriginal and Torres Strait Islander people, so we enthusiastically encourage candidates from these backgrounds to apply and explore our Reconciliation Plan on our website.