Senior Manager Advice Governance

If you live in Australia or New Zealand, you’ve likely heard of AMP. But at a time when society is changing, we are too. We’re now a nimbler business with new leadership and thinking. 

For us, these are exciting times. There’s a real potential for big thinkers to help us redefine what financial services could be. And turn our legacy into something even more positive and powerful for the future.

Help people create their tomorrow, while you create yours

We help people with their banking, super, retirement and finances. Through upturns, downturns, recessions, and major life transitions. Every day, we help people see and make more of their financial potential, so that they can create their tomorrow. And we’ve been doing it for over 170 years. 

If we do our job well, we genuinely add to the prosperity of our country and its people. 

How you’ll make an impact

This role is expected to make an impact by leading the day-to-day operations of the Advice Governance function, ensuring effective delivery of governance, monitoring, supervision and oversight activities across advice-related matters for NM Super.

In this role, you will: 

Governance Framework Ownership

• Maintain and continuously improve Advice Governance frameworks, policies, procedures and controls
• Ensure governance activities are implemented and operated effectively across the business
• Support regulatory and Trustee obligations through effective governance execution
• Identify opportunities to strengthen governance practices and control effectiveness, ensuring linkage and clear operating principles with Advice, Investment and Product Governance.

Licensee and Adviser Governance Committee (LAGC)

• Lead the effective operation and governance of the Licensee and Adviser Governance Committee (LAGC)
• Oversee the preparation of quarterly and ad hoc committee papers, reporting and supporting documentation
• Facilitate committee meetings and ensure actions, decisions and governance outcomes are appropriately documented and tracked
• Coordinate stakeholder input and support effective oversight of advice governance matters

Regulatory and Trustee Support

• Support responses to regulatory reviews, requests and enquiries
• Maintain awareness of regulatory developments and assess impacts on governance processes
• Support engagement with regulators, Trustee Office, Risk and Compliance teams as required
• Assist with implementation of regulatory and governance uplift initiatives

Advice Supervision, Monitoring & Risk Management

• Oversee advice file reviews, sampling frameworks and supervision programs
• Lead investigations into advisers and licensees, identifying misconduct and control weaknesses
• Ensure effective oversight of advice fees, conduct and customer outcomes

Executive, Board & Trustee Reporting

• Deliver high-quality, insight-led reporting to senior management, governance forums and Trustee Board
• Manage the preparation and governance of quarterly and ad hoc Licensee and Adviser Governance
• Present governance findings and recommendations to senior stakeholders
• Ensure reporting is accurate, timely and supported by robust analysis

Function Leadership & Capability Uplift

• Lead and develop a team of Advice Governance professionals including managers, senior specialists and specialists
• Set priorities and manage workload across governance, monitoring, investigations and uplift activities
• Build technical capability and governance expertise across the team
• Create a high-performance culture focused on regulatory excellence and member outcomes

Risk, Compliance & Continuous Improvement

• Own compliance monitoring and governance assurance frameworks
• Identify emerging risks and regulatory developments, advising senior leadership accordingly
• Drive automation, data-led insights and AI-enabled governance improvements
• Strengthen control effectiveness and operational scalability

What you will bring to the team

Ideally, you will bring the following experiences to this role: 

• Extensive experience, 8+ years, working in financial services with management experience and deep expertise in advice governance, compliance, supervision or risk management
• Demonstrated experience leading governance, compliance or supervision functions, preferably within wealth, superannuation or advice ecosystems
• Ability to deliver results through others via effective leadership and coaching
• Strong experience engaging directly with regulators (ASIC/APRA), including responding to reviews, regulatory requests and supervisory activities
• Experience preparing the development of business plans and presenting reporting to senior executives, Trustee Boards and governance committees
• Deep practical experience across:
  • Advice file reviews, supervision and monitoring frameworks
  • Adviser and licensee investigations
  • Governance frameworks, policies and control design
• Risk identification, remediation and control uplift
  • Successful management and implementation of regulatory changes
• Demonstrated ability to operationalise regulatory and legislative requirements into practical business implementation
• Experience in identifying, assessing and addressing operational risk
• Strong understanding of:
  • Corporations Act (financial advice obligations)
  • Superannuation Trustee obligations and advice fee governance
  • Line 1 / Line 2 risk and compliance operating models
• Strong understanding of the regulatory and compliance regime for financial services
• Understanding of competitors propositions and industry trends, as they relate to the wealth management, in particular platforms environment.
• Appropriate tertiary qualifications in governance, risk or compliance desirable

You’ll thrive here if…

If you can adapt from BAU to the ambiguous with ease, you’ll do well here. Change is never easy, so bring your commitment, grit and growth mindset.

Because we run lean, you’ll be expected to jump in and deliver across a variety of areas. Meaning, you’ll be closer to the action and executive decisions that influence where we go next.

If you’re someone that can hold their own, you’ll find AMP quite liberating. 

Why we think you’ll love working at AMP

Doing what we’ve always done is not an option, so your clever ideas will get airtime here. You’ll be encouraged to speak up and try new things. If they don’t work, we move on – better for it.

We know there’s no one way of doing things. So, you won’t have to sacrifice who you are or how you work to fit in here. We’re inclusive and flexible in many of the ways you’d expect. And in some of the ways you wouldn’t. As long as your health and wellbeing come first - at home and at work. 

In fact, most of what makes AMP such a welcoming, enjoyable place to work are our people. Wherever you go, you’ll find moments to connect, feel valued and do meaningful work. 

Whether it’s through our first-class leaders who are invested in you and your success. Through year-round opportunities to volunteer, fundraise and give back to the community. Or in the everyday challenges you face as we work together to strengthen this great organisation. Challenges that will stretch you, amplify your potential and compound the impact you have. 

We believe in the power of inclusion and diversity

We’re dedicated to fostering inclusion, diversity, and a warm feeling of belonging at AMP. It sparks creativity, ignites innovation, and turns up the dial on the quality of our decisions and performance. This not only makes our workplace more engaged, but also leads to better connections with our customers. 

We're your allies in the search for the perfect fit - when you apply, let us know how we can support you to put your best self forward during our selection process. 

We're also committed to enhancing employment opportunities for Aboriginal and Torres Strait Islander people, so we enthusiastically encourage candidates from these backgrounds to apply and explore our Reconciliation Plan on our website.

Ready to create your tomorrow?

If you’re someone who sees opportunity where others see challenge, come and work with us in smart, progressive ways as we transform an iconic Australian brand for the future. And, through a series of career-defining moments, create your own tomorrow.

Don’t procrastinate! We review applications when we get them, and if we discover the ideal candidate, we may close the role earlier than the advertised close date.

Looking forward to meeting you.