Elizabeth James

Compliance Manager

Liz is a Compliance Executive with over 30 years’ experience in the financial services industry in Australia. Her extensive experience spans across the sector with a particular focus on compliance for financial advisers, financial planning advice and retirement planning and consumer lending.

Liz is especially passionate about the strong client and business relationships she has built during her career and prides herself on meeting and exceeding client requirements whilst implementing continual improvements.

“As a compliance executive, I assist financial planners to improve their compliance processes to protect their clients, their employers and themselves. It is in this responsibility that I strive to ensure that clients are receiving quality financial advice that suits their needs and ensure the correct processes have been applied in providing that advice.

I have built very strong client and business relationships during my 30-year career. It is my prerogative to exceed client requirements while implementing continual improvements and I like to ensure clients receive quality financial advice that adheres to the correct processes and is tailored to their specific needs.”


Industry and career experience

Liz has experience advising on all aspects of compliance across:

  • Financial Advising
  • Consumer Lending
  • Retirement Planning


Liz has worked with a number of public and private clients across a variety of sectors including:

  • Banking and Finance
  • Private Wealth
  • Superannuation


Prior to joining Source, Liz was Compliance Analyst at QRC Consulting. She previously spent many years as a senior financial planner and in other senior roles in the financial advice and compliance space, including at National Australia Bank and MLC. 



  • Advanced Diploma of Financial Services – Kaplan Professional

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