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About the Role
The Manager, Adviser Review leads the onboarding and ongoing monitoring of third-party advice licensees and advisers. This role applies specialist expertise to strengthen governance, manage issues, and provide thematic insights to senior leadership and Boards to support member protection.
Responsibilities
- Execute the adviser governance strategy in line with regulatory obligations and risk appetite.
- Lead onboarding, monitoring, and review activities for third-party advice licensees and advisers.
- Interpret AI-generated advice file findings and supporting evidence.
- Assess the significance of identified issues, potential member detriment, and systemic implications.
- Distinguish minor process issues from emerging conduct risks and harmful advice practices.
- Identify patterns, root causes, and control weaknesses to provide actionable insights.
- Engage AFSL owners and senior stakeholders to secure commitment to corrective actions.
- Monitor agreed actions and escalate unresolved matters to the Adviser and Licensee Oversight Committee.
- Partner with internal teams including Distribution, Product, Risk, Compliance, and Legal.
- Coach team members to promote accountability and high professional standards.
- Utilize AI and emerging technologies to automate processes and improve operational effectiveness.
- Identify capability gaps and recommend targeted education for third-party advisers.
Requirements
- Deep knowledge of financial advice, advice file compliance, and regulatory frameworks.
- Experience in advice governance, compliance, AFSL supervision, and incident management.
- Ability to examine advice files and assess issues through the lens of Trustee obligations.
- Sound professional judgement to translate complex findings into practical recommendations.
- Proven ability to influence senior stakeholders and governance leaders.
- Highly developed analytical, investigative, and communication skills.
- Demonstrated capability in using AI-enabled tools or process automation.
- Full work rights in Australia.
- Successful completion of background checks including Police, Employment, Bankruptcy, and ASIC checks.
Skills
- Financial advice compliance
- Governance and risk management
- AFSL supervision
- Incident and breach management
- Analytical and investigative skills
- Stakeholder management
- AI-enabled tools and process automation
- Report writing
Location
- Sydney, Australia
Education Level
- Relevant tertiary or professional qualifications in financial advice, law, risk, or compliance
- RG146 compliance or higher
Benefits
- CFS Employer Super with investment menu and insurance solutions
- Discounts on home loans and daily bank accounts
- 24/7 confidential support for safety, medical, and mental health
- Additional leave day for birthday
- 3 days of Life Leave per annum
- Exclusive discounts on retail, travel, and entertainment
About the Company
- CFS is a wealth management organization focused on helping customers achieve financial freedom.
- The company values expertise, passion, and diversity.
Equal Opportunity
- CFS is dedicated to celebrating uniqueness, championing individuality, and supporting a diverse and inclusive workforce.