We currently have an exciting opportunity for an Advice Compliance Specialist to support our continued focus of delivering outstanding service and advice to our clients. Based in our Melbourne CBD office, you will be part of our growing compliance and advice quality function within First Financial; one of Australia’s leading wealth advisory firms.
Whether you’re an experienced advice compliance specialist seeking a stable and highly professional environment, or you’re looking to take the next step in a progressive organisation, we want to hear from you.
As a key member of our team, you will partner with the Senior Advice Compliance Manager and leaders across the business, gaining exposure working with both employed and self-employed advisers who implemented to a broad range of clients and advice strategies. This role will utilise your skills and experience in:
- Supporting ongoing supervision and monitoring programs across the adviser network
- Identifying compliance issues and trends, and supporting remediation actions
- Conducting advice file reviews and monitoring activities
- Assist advisers to understand and apply regulatory obligations, Code of Ethics requirements and internal policies
- Supporting adviser onboarding/offboarding, authorisations and Professional Year requirements
- Supporting the triaging and investigation of incidents, complaints and breaches
- Identifying and reporting compliance risks and supporting remediation and dispute resolution processes
- Assisting with preparing compliance reports for managements and internal stakeholders
- Contributing to initiatives that uplift risk culture, advice quality and process efficiency
In turn, we promise you:
- A competitive salary with bonus potential
- Genuine career progression with coaching, training and ongoing professional development
- Opportunities to broaden your expertise across regulatory change, risk management and advice uplift
- Flexible working conditions to support work–life balance
- Exposure to a wide range of advisers, specialist teams and complex advice scenarios
- A supportive, collaborative and engaging environment where you can grow, lead and thrive
At the heart of everything we do is a commitment to our clients and the integrity of our advice. We’re looking for people who take pride in doing things the right way—those driven by excellence, whether you’re seeking long-term stability or ready to take the next step and grow your career in compliance.
To be successful in this role, you will bring:
- Minimum 3 years’ experience in advice quality and compliance, adviser supervision, or risk management
- Working knowledge of regulatory obligations, including the Corporations Act, AML/CTF, Privacy and the Code of Ethics
- Experience conducting advice file reviews or previous experience as an adviser or paraplanner
- Experience with compliance monitoring, adviser training and policy development
- Familiarity with advice processes, documents and fee consent requirements.
- Proficiency in Microsoft Office and XPlan
- Excellent written and verbal communication skills, with high attention to detail
- A degree in business, finance, law or a related field is highly regarded
Some background
First Financial is one of Melbourne’s largest boutique wealth advisory firms. We are part of a broader group that includes Accordius, Whittle & Skok, YX Ball, Akambo and Pharus Wealth. We provide holistic financial advice to a wide range of clients—from young accumulators to retirees and business owners—helping them achieve what’s most important. As we continue to grow, we are looking for an additional team member who shares our values, and commitment to exceptional client outcomes.
If you are passionate about strengthening advice quality, enhancing compliance culture and supporting advisers to deliver outstanding client results, we would love to hear from you.
Please submit your resume and a brief cover letter to apply.
