Head of Compliance and Advice - Boutique Advisers

About the role

Boutique Advisers Private Wealth, a growing private wealth firm in Perth, is looking for a Head of Compliance and Advice to report to the Managing Director. This is a hands-on, strategic role overseeing the compliance framework, advice quality assurance and information security management for the Australian Financial Services Licence (AFSL), shaping how advice is delivered rather than just overseeing it.

Key responsibilities

• Own the AFSL compliance framework: registers, attestations, breach and complaints management, ASIC and AFCA lodgements, annual audits and renewals
• Lead advice quality assurance: pre- and post-vetting of Statements of Advice, file audits, paraplanning oversight and partnership with technology partners on a best-in-class advice process
• Chair the Investment Committee with external advisers, maintain the Approved Product List and monitor investment performance
• Lead and develop the paraplanning and associate teams, including CPD, Professional Year and ongoing technical training
• Approve advice documentation, FSGs and client-facing content so regulatory standards are met across the practice

Required profile

• Tertiary qualification in Finance, Financial Advice, Business, Law or a related discipline
• Minimum 5-7 years' experience in financial services compliance, including AFSL management
• Demonstrated leadership of compliance and/or paraplanning teams
• Experience reviewing financial advice for quality and compliance
• Highly desirable: CFP or equivalent qualification, experience chairing Investment Committees, background in boutique practices or large dealer groups, familiarity with major investment platforms

Required skills

• Strong understanding of the Corporations Act, ASIC regulatory guides and AML/CTF obligations
• AFSL compliance and advice quality assurance

What we offer

• A senior leadership seat at a respected, growing private wealth firm
• Competitive remuneration package and ongoing professional development
• Professional membership fees and technical/compliance training supported
• Hybrid working arrangements, subject to business needs and information security requirements
• Modern Subiaco office and a collaborative, technically strong team