Compliance Manager Seed Wealth Australia Townsville, Northern QLD Financial Planning (Banking & Financial Services) Full time - In Office Join a fast‑growing, self‑licensed financial planning firm and play a pivotal role in shaping our compliance framework. Seed Wealth Australia is seeking an experienced Compliance Manager to support our expanding team, strengthen our AFSL obligations, and help drive our next stage of growth. If you're passionate about high‑quality advice, value a positive culture, and want to be part of a young, energetic team making a real impact for clients across North Queensland and Australia wide, this is your opportunity to grow with us. Compliance Manager SEED WEALTH AUSTRALIA The role is for a Compliance Manager within our Financial Planning practice. We currently have a growing team of six Authorised Representatives and one Professional Year candidate. Since being established in 2018, Seed Wealth has invested significantly into building robust workflows and compliance infrastructure to support our advisers and support staff in delivering high‑quality advice to our clients. We are seeking someone to provide compliance oversight as the business moves into the next phase of growth, liaise and coordinate external audit process, conducting regular internal file audits, and updating our internal policies and procedures to keep pace with the ever‑changing legislation in the financial planning industry. Prior experience in the financial planning sector is essential, and relevant qualifications are highly regarded. Our team consists of experienced yet young and energetic financial advisers who are committed to providing long‑term, sustainable advice that helps clients achieve their goals. We are proud to be a referral‑built business founded on lasting client partnerships, with a diverse client base including young families, professionals, small business owners, and retirees. Key Responsibilities of a Compliance Manager Regulatory Compliance: Oversee adherence to financial regulations and maintain AFSL obligations. Policy Development: Create and update internal policies and compliance frameworks. Risk Management: Conduct risk assessments, monitor compliance incidents, and implement improvements. Reporting & Monitoring: Prepare reports for management and regulators on compliance trends, breaches, and risks. Training & Education: Deliver training on compliance obligations, fostering a strong, compliant culture and assist professional year candidates and junior advisers as they develop Advisory: Advise senior management on regulatory changes and impact on operations. Required Skills and Qualifications Experience: 5 years in financial services, specifically within compliance or risk management (e.g., in AFSL environments). Knowledge: Deep understanding of regulatory bodies (e.g., ASIC), AML/CTF, and financial planning legislation. Communication: Exceptional verbal and written communication skills for reporting and training. Analytical Skills: Strong attention to detail, research, and documentation capabilities. Leadership: Experience in managing teams and driving process improvements The ideal candidate will have the following minimum requirements: Be an Australian resident or Resident VISA holder Enthusiastic, self-motivated and have high ethical values Strong time management skills and high attention to detail a must-have Strong knowledge of Microsoft Word, Excel and Outlook including a willingness to learn our systems and processes Prepared to work full time in our Townsville office If this position sounds like your next career step and is of interest, then please submit your application via the apply now button below. PLEASE INCLUDE A BRIEF COVER LETTER DETAILING WHY YOU FEEL YOU WOULD BE SUITED FOR THIS ROLE AND ANY PREVIOUS EXPERIENCE DIRECTLY RELATING TO THIS ROLE. The application form will include these questions: Which of the following statements best describes your right to work in Australia? Have you completed a qualification in financial planning? How many years' experience do you have in the financial services industry? How much notice are you required to give your current employer?
