Head of Compliance

About Capital Haus Group

Capital Haus Group (CHG) is an Australian financial services group that provides advice, trading, wealth management, and technology solutions to high-net-worth clients, family offices, investors, and advisers. The group operates two brands: Capital Haus Financial Services and Baker Young.

Capital Haus Financial Services (CHFS), AFSL 553019, is focused on building a respected global wealth management and financial advisory business grounded in trust, long-term thinking, and measurable outcomes. Its approach covers equities, managed funds, private markets, cash, and managed discretionary accounts, with support for clients navigating complex and changing financial markets. Head office is in Sydney, and the business has expanded through mergers and acquisitions over the last 18 months to include advisers and support teams across four offices, including Townsville, Batemans Bay, and Melbourne.

Baker Young (BYL), AFSL 246735, is a full-service investment firm based in Adelaide with expertise in domestic and international equities, portfolio management, wealth strategies, and capital raising. Founded in 1985, it serves a wide range of clients, from first-time investors and retirees to high-net-worth individuals, self-managed superannuation funds, and institutional investors. Its core team has worked together for more than 30 years and brings experience across domestic and international equities, managed discretionary accounts, and corporate advisory through multiple market cycles.

CHG brings both brands together through an integrated execution and advice model that helps advisers deliver scalable, compliant, and innovative client solutions. Operating under two AFSLs in Australia’s regulated financial services environment, the group is trusted by its advisers, their clients, and an expanding network of private wealth advisers as it continues to build capability across emerging products and markets.

The business moves quickly, priorities can change fast, and the culture suits people who are adaptable, commercially aware, and eager to create impact in a growing organisation.

About the role

Reporting to the Group CEO, the Head of Compliance will lead and shape CHG’s compliance framework across a complex financial services environment with multiple products and business lines. The role covers group-wide oversight of AFSL obligations, the private wealth adviser network, and regulatory considerations linked to new products, markets, and technologies.

You will work closely with executive leaders to support growth while finding practical, solution-focused ways to manage regulatory requirements when business initiatives face obstacles. The role requires someone who can keep both businesses flexible without compromising compliance.

A major part of the role is to help align governance, compliance policies, supervision processes, and risk management practices across CHFS and BYL, while still recognising the distinct obligations attached to each AFSL.

This is a group oversight position that supports and works alongside the Responsible Managers for each AFSL. Final resolution of any regulatory deadlock sits at the relevant Proprietary Limited Board level.

Location and travel

This position is based in Sydney or Melbourne. Regular interstate travel to Adelaide and regional offices is expected to help create a consistent and connected compliance culture across the group.

Key relationships

The role works closely with internal leaders including the Group CEO, Responsible Managers and Directors of CHFS and BYL, the executive leadership team, heads of business such as operations, trading, and technology, ORC committee members, and authorised representatives and private wealth advisers across both AFSLs.

Externally, the position engages with commercial clients, vendors, Australian regulators such as ASIC, APRA, AUSTRAC, and OAIC, as well as AFCA and other consumer dispute and oversight bodies.

Key accountabilities

The Head of Compliance will lead the evolution of CHG’s compliance framework to align with AFSL requirements, ASIC expectations, and wider regulatory standards across both licences.

The role includes governance and oversight of the private wealth adviser network, with responsibility for recruitment due diligence, onboarding, supervision, competency checks, CPD tracking, file review activity, breach handling, and continuing compliance obligations.

You will partner with senior leaders on strategic initiatives such as product development, business growth, operational change, and M&A integration, ensuring compliance considerations are built into decision-making early.

The role also involves defining compliance logic, policies, and monitoring requirements for technology-enabled surveillance and reporting, while working with internal technology and operations teams that manage the technical build.

Additional responsibilities include incident and breach management, regulatory reporting, and communication with regulators, exchanges, and other external stakeholders.

You will maintain and improve AML/KYC frameworks, policies, and procedures in line with relevant laws and regulatory expectations.

Another key part of the role is preparing compliance reporting for internal governance forums such as ORC and supporting external audit activity.

The position requires visible leadership across regional offices, including regular in-person engagement, educational training, and programs that reinforce accountability, ethical judgement, and responsible risk-taking while supporting business growth.

You will also lead and develop compliance staff and compliance champions across the group, with responsibility for capability building, succession planning, and professional development.

What you bring

You should hold a bachelor’s degree in business, finance, law, or a related discipline. An advanced qualification or professional compliance certification is preferred.

The role requires more than 10 years of experience in financial services compliance, including at least 5 years in a senior leadership capacity.

Strong experience in retail wealth advice compliance, managed discretionary accounts, and corporate advisory or placements frameworks is essential.

You should have a proven history of supervising authorised representatives and private wealth advisers in a multi-AFSL setting.

A solid technical understanding of the Corporations Act 2001 (Cth), ASIC Market Integrity Rules (Securities Markets), and ASX Settlement and Clear Operating Rules and procedures is important.

Experience with IRESS Xplan or a similar CRM or wealth platform would be a strong advantage.

The ideal candidate is a practical, solution-oriented business partner who can uphold high compliance standards without slowing business momentum.

Excellent communication and stakeholder management skills are required, along with the ability to educate teams and build constructive relationships with regulators and boards.

You will also need strong analytical and organisational ability, along with the independence to manage competing priorities and deliver quality outcomes in a fast-moving environment.

Success measures

Success in the role will be measured by the absence of material regulatory breaches caused by framework weaknesses, timely completion of compliance obligations, successful integration and harmonisation efforts across CHFS and BYL, positive audit and review outcomes, stronger compliance awareness across the business, and sustained regulatory relationships.

Eligibility

Applicants must have full working rights in Australia. Sponsorship for candidates applying from outside the country is not available at this stage.