The Opportunity
Are you an Accountant with strong commercial acumen, a sharp eye for detail, and a growing interest in the world of financial markets and investment advice?
This is your opportunity to pivot your accounting career into the financial advisory space, with one of Queensland’s most established independent stockbroking and wealth management firms.
We’re looking for a Compliance Officer who not only understands financial reporting and regulation but is also eager to transition into a client-facing advisory role over time. You'll receive best-in-class training, ongoing mentoring, and a clear progression path toward becoming a qualified Financial Advisor.
About the Role
In this entry-to-mid-level Compliance Officer role, you'll be responsible for ensuring the business complies with all relevant legislation, license obligations, and internal procedures.
Key Responsibilities:
- Monitor and support compliance with:
- Australian Corporations Law
- ASX Rules
- AFSL obligations
- AML/CTF and FATCA laws
- Maintain and update policies and procedures
- Prepare internal audits: SOA, order reviews, new account audits, etc.
- Review and manage client-facing documents (FSGs, SOAs, PDSs)
- Deliver in-house compliance training (with support)
- Maintain internal registers: MDA, Complaints, Breaches, etc.
- Support AML/CTF reporting processes
- Stay ahead of industry and regulatory changes
- Manage CPD requirements through the firm’s Kaplan platform
This role is ideal for someone who:
- Comes from a public practice, audit, or commercial accounting background
- Has exceptional attention to detail and thrives in a regulated environment
- Is a strong communicator with a client-first mindset
- Is passionate about financial markets, ethical advice, and long-term career growth
- Wants to step out of the back office and into a future advisory career
- Salary of $90,000–$100,000 + Super
- Dedicated training, mentoring, and fast-tracked advisory development
- Work in a close-knit team with direct exposure to high-performing advisors
- Long-term career stability with a business that values people and purpose