Compliance & Governance Analyst
Full-time
Chatswood, NSW
$95,000 + superannuation
About the Business
Wealth Prime Advisory Pty Ltd is a professional financial advisory firm that has been operating in Australia for over 12 years. We provide tailored financial advice across investment and wealth creation, superannuation and retirement planning, personal insurance and risk protection. We also assist clients with mortgage and credit solutions through our lending services.
With a client-first approach, we work with individuals, families and businesses through different stages of their financial journey under the regulatory framework of our AFSL Licensee. We value integrity, sound professional judgement, collaboration and regulatory excellence, and are committed to building long-term relationships that help clients make informed and confident financial decisions.
About the Role
We are seeking an experienced compliance and governance analyst to ensure our organisation meets its legal, regulatory, and ethical obligations. Working closely with management, advisers and support staff, the role supports the implementation of the Licensee's compliance framework by analysing regulatory and operational information, maintaining compliance records, reviewing internal controls, and supporting timely reporting, remediation and continuous improvement.
Key Responsibilities
Your role will include (but is not limited to) the following tasks:
- Monitor regulatory developments affecting the financial advice sector and assess their impact on the organisation's operations and the application of the Licensee's compliance framework.
- Collect and analyse regulatory, operational and compliance information, and prepare clear management reports on compliance matters, operational risks, control findings and governance issues.
- Review, implement and maintain compliance policies and procedures issued by the Licensee, ensuring the organisation's practices remain aligned with regulatory obligations and industry best practice. Maintain compliance registers, governance records and supporting documentation for monitoring, reporting and assurance purposes.
- Conduct periodic reviews of advice files, internal processes and records to assess compliance, identify gaps and track corrective actions.
- Provide practical guidance to advisers and support staff on the Licensee's compliance requirements, respond to day-to-day compliance queries, and escalate complex or material matters where appropriate.
- Investigate incidents, potential breaches and complaints; analyse root causes and trends, prepare findings and recommendations, and support remediation activities and regulatory reporting where required.
- Review internal workflows, controls and documentation practices, and support the ongoing improvement of governance, compliance and internal control frameworks.
- Coordinate periodic compliance reviews, audits and regulatory projects by compiling evidence, monitoring action items and liaising with relevant stakeholders.
- Assist with regulatory returns, notifications, submissions and responses, ensuring deadlines and record-keeping requirements are met.
- Prepare and deliver compliance training and regulatory update communications, and support obligations relating to AML/CTF, client identification, privacy, cyber security, record-keeping and third-party service providers.
Skills & Experience
To be considered for this role, you will ideally have:
- A bachelor's degree in law, finance, commerce, business or a related discipline.
- At least three years' relevant experience in compliance, governance, risk or regulatory operations within the Australian financial services industry.
- Practical knowledge of the Australian financial advice regulatory environment, including ASIC requirements, privacy obligations and AML/CTF requirements.
- Experience maintaining compliance registers, governance records, policies, procedures and documentation supporting internal control frameworks.
- Experience conducting compliance reviews, investigating incidents, complaints or potential breaches, and supporting regulatory reporting and remediation activities.
- Strong analytical and problem-solving skills, with the ability to interpret regulatory requirements and assess their operational impact.
- Excellent attention to detail, information-management skills and the ability to manage multiple priorities and deadlines.
- Strong written and verbal communication skills, including the ability to prepare clear management reports and communicate effectively with advisers, management and external stakeholders.
- The ability to work independently while contributing positively to a close-knit, client-focused team.
What We Offer
- A competitive salary and super.
- A hands-on role with broad exposure to compliance, governance and practice operations.
- The opportunity to work directly with experienced advisers and management.
- Professional development in a highly regulated and evolving financial services environment.
- A collaborative, client-focused team based in Chatswood.
To Apply
If this role sounds like the right fit and you meet the essential requirements, please apply by emailing [email protected] with a cover letter and resume attached.
Pay: $95,000.00 per year
Work Location: In person
