This isn’t a tick-the-box compliance role — it’s a chance to help shape the future of financial advice at one of Perth’s most respected boutique private wealth firms. As Head of Compliance & Advice at Boutique Advisers Private Wealth, you’ll do more than safeguard our AFSL — you’ll be the trusted partner our advisers turn to, the chair guiding our Investment Committee, and the leader championing the quality of every piece of advice we deliver.
About Us
At Boutique Advisers Private Wealth, we deliver tailored, high-quality financial advice built on our Five Pillars of Advice framework. Our reputation is grounded in technical excellence, genuine client relationships, and an uncompromising standard of regulatory compliance and information security. As we continue to grow, we’re looking for a senior compliance leader to safeguard and elevate the quality of our advice and licensee operations.
The Opportunity
Reporting to the Managing Director, the Head of Compliance & Advice is a pivotal leadership role responsible for overseeing our compliance framework, advice quality assurance, and information security management for our Australian Financial Services Licence (AFSL), ensuring our practice continues to set the benchmark for compliant, high-quality financial advice.
This is a hands-on, strategic role for a compliance professional who wants genuine influence — not just oversight, but the ability to shape how advice is delivered.
What You’ll Do
- 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 SoAs, file audits, paraplanning oversight, and partnering with our technology partners on a best-in-class advice process
- Chair the Investment Committee alongside our external advisers, maintain the Approved Product List, and monitor investment performance
- Lead and develop our paraplanning and associate teams, including CPD, Professional Year, and ongoing technical training
- Approve advice documentation, FSGs, and client-facing content to ensure regulatory standards are met across the practice
What You’ll Bring
Essential
- Tertiary qualification in Finance, Financial Advice, Business, Law or related discipline
- Minimum 5–7 years’ experience in financial services compliance, including AFSL management
- Strong understanding of the Corporations Act, ASIC regulatory guides, and AML/CTF obligations
- Experience reviewing financial advice for quality and compliance
- Demonstrated leadership of compliance and/or paraplanning teams
Highly Desirable
- CFP® or equivalent financial planning qualification
- Experience chairing Investment Committees
- Background in boutique financial advice practices or large dealer groups
- Familiarity with major investment platforms
Why Boutique Advisers
- A senior leadership seat at a respected, growing private wealth firm
- A genuinely high-quality advice culture — your work directly shapes client outcomes
- Competitive remuneration package and ongoing professional development
- Professional membership fees and technical/compliance training supported
- Hybrid working arrangements available subject to business needs and information security requirements
- Modern Subiaco office and a collaborative, technically strong team