Head of compliance

About the Role

Reporting directly to the Group CEO, the Head of Compliance is responsible for leading and evolving CHG's compliance framework across a complex, multi-product financial services environment. This includes group-level oversight of our AFSL obligations, our growing private wealth adviser network, and emerging regulatory considerations as we expand into new products, markets, and technologies.

This role partners closely with executive leadership to act as a strategic enabler of growth. The ideal candidate is an agile, solution-oriented leader who actively brings alternative pathways and pragmatic regulatory solutions to the table when business initiatives encounter hurdles, ensuring both businesses remain nimble while strictly adhering to regulatory guidelines.

A key objective of this role is to support the ongoing integration and harmonisation of governance, compliance frameworks, policies, supervision practices, and risk management processes across CHFS and BYL while respecting the separate regulatory obligations of each AFSL.

This is a group-level oversight role designed to support, guide, and collaborate with the existing Responsible Managers (RMs) of each AFSL. Ultimate regulatory deadlock resolution is managed at the respective Proprietary Limited Board level.

Location & Travel

Location: Sydney or Melbourne.

Travel: Regular interstate travel to Adelaide and regional offices is required to establish a strong, cohesive, and unified compliance culture across the group.

Key Relationships

Internal:

• Group CEO – Capital Haus Group
• Responsible Managers and Directors of both CHFS and BYL
• CHG Executive Leadership Team
• Heads of Business (e.g., Operations, Trading, Technology teams)
• Operational Risk & Compliance (ORC) Committee members
• Authorised representatives and private wealth advisers operating under CHFS and BYL AFSLs, including onboarding, monitoring and ongoing compliance obligations

External:

• Commercial clients and vendors
• Australian regulators (ASIC, APRA, AUSTRAC, OAIC, etc)
• Consumer Disputes & External Oversight (AFCA)

Key Accountabilities

• Regulatory Frameworks: Lead and continuously evolve CHG's compliance framework in line with AFSL obligations for both CHFS and BYL, ASIC requirements, and broader regulatory expectations across both licenses.
• Network Governance: Provide governance and oversight of CHG's private wealth adviser network, including authorised representatives, ensuring effective recruitment due diligence, onboarding, supervision, competency assessment, CPD monitoring, file review programs, breach management and ongoing compliance obligations.
• Strategic Growth Partnering: Partner with executive leadership to enable strategic initiatives, product development, business expansion, M&A integrations, operations, and growth plans, ensuring compliance logic is embedded into decision-making.
• Tech Logic & Policy Design: Define the compliance logic, policies, and surveillance requirements for scalable, technology-enabled monitoring and reporting frameworks, collaborating with internal technology and operations teams who own the technical workflow builds.
• Incident & Breach Management: Oversee incident and breach management, regulatory reporting, and engagement with regulators, exchanges, and external stakeholders.
• Financial Crime & AML: Maintain and enhance compliance policies, procedures, and AML/KYC frameworks in line with applicable laws and regulatory standards.
• Governance Reporting: Prepare and deliver compliance reporting to internal governance forums (e.g., ORC) and support external audit processes.
• Culture, Conduct & Visibility: Build and promote a strong, collaborative compliance culture across all regional offices through regular physical presence, proactive engagement, and the design of educational training programs. Foster a culture of accountability, ethical decision making, and responsible risk‐taking that supports both regulatory compliance and business growth.
• Leadership & Capability Building: Lead and develop compliance personnel and compliance champions across the group, ensuring appropriate capability, succession planning, and professional development.

What You Bring

• Qualifications: Bachelor's degree in business, finance, law, or a related field. Advanced degree or professional certification in compliance is preferred.
• Experience: 10+ years of experience in financial services compliance, with at least 5 years in a senior leadership role.
• Core Expertise: Proven expertise in retail wealth advice compliance, Managed Discretionary Accounts (MDAs), and Corporate Advisory/Placements frameworks.
• Network Supervision: Demonstrated track record of managing and supervising a network of authorised representatives and private wealth advisers across a multi-AFSL environment.
• Market Literacy: Strong technical understanding and oversight capability regarding the Corporations Act 2001 (Cth), ASIC Market Integrity Rules (Securities Markets), ASX Settlement and Clear Operating Rules and procedures.
• Systems Familiarity: Knowledge of IRESS Xplan or similar financial services CRMs and wealth platforms is highly advantageous.
• Mindset: A proven history of operating as a solution-oriented business facilitator who can maintain institutional‐grade compliance standards without compromising corporate agility.
• Communication & Engagement: Exceptional stakeholder management and communication skills, with a track record of educating staff and building positive relationships with regulators and internal boards.
• Execution: Strong analytical and organisational skills with the independent accountability required to manage competing deadlines and deliver high‐quality results in a fast‐paced environment.

Success Measures

• No material regulatory breaches resulting from framework failures.
• Timely completion of regulatory obligations.
• Successful integration and harmonisation initiatives across CHFS and BYL.
• Positive audit and compliance review outcomes.
• Increased compliance awareness and engagement across the business.
• Maintenance of strong regulatory relationships.

Unfortunately we are unable to sponsor out of country applicants at this stage. Applicants must have full working rights in Australia.