Quality Assurance

3 months ago

Parramatta, Australia Link Group Full time

**About MUFG Pension & Market Services**
MUFG Pension & Market Services is a global business connecting millions of people with their assets - safely, securely, and responsibly. We have over 6500 employees across 4 continents and continue to grow every day.

MUFG Retirement Solutions is the largest business under MUFG Pension and Market Services, and we are the leading administrator for super funds in Australia. Many of our clients are household names. We are well positioned within a growing superannuation industry, combining our rich legacy with a fast-paced environment that enables rapid career growth.

We are a diverse team with employees from various cultural and linguistic backgrounds, and we make sure to celebrate the successes of our clients and our people.

**The Role**

The role is responsible for ensuring Link Advice authorised representatives meet their ongoing compliance obligations.

The role will form part of and collaboratively contribute to the Link Advice team that is responsible for the behaviour and performance of its financial advice team.

**Key Accountabilities and main responsibilities**
- Regularly monitor Advice call recordings as part of the compliance audit requirements and as instructed by the Compliance Manager
- Complete Compliance reviews of Link Advice financial advice files, including general advice
- Assist with onboarding and offboarding Advisers on the ASIC register.
- Assist with the running of the CPD education pathway
- Prepare regular reports (e.g. for Board reporting, Risk and Compliance Committee Meeting, Compliance Letters sent to client funds)
- Handle and report any identified incidents on the Incident reporting software
- Liaise and work with the Link Advice compliance and management teams
- Provide administrative support to Compliance Managers; and
- Assist team members with other risk management and compliance tasks as required.
- Governance & Risk
- Ensure adherence to legal and regulatory requirementsSupport us with assurance programs that deliver effective risk management and compliance practices.
- **Experience & Personal Attributes **.
- Qualifications in Financial Services (Advanced Diploma Financial Planning or equivalent preferable)
- Sound knowledge of the Financial Services regulation in Australia and relevant laws
- Commerce or Business Degree qualification is desirable but not essential.
- Ability to work unsupervised
- Experience with onboarding and offboarding advisers on ASIC, preferred but not essential.
- Experience in financial planning or para-planning
- Personal commitment to and visible role modelling of the organisation's behaviours and values. Well-developed communication skills, written and verbal
- Resilient, adaptable and culturally sensitive team player
- High attention to detail and accuracy
- Effective time management and organising skills
- Have a collaborative approach when working with other related stakeholdersAgree to complete agreed CPD training
- **Some of our Employment Benefits**
- FlexiWorks - enabling our employees to work in the office and at home
- Purchased Leave, Parental Leave, Volunteer Leave, Gender transition leave, Well-being leave
- Employee Recognition Program - to recognise people who are demonstrating our values and Company purpose.
- Talent Referral Program
- Salary Sacrificing via Superannuation
- Employee Assistance Program
- Learning & Development - Development at your fingertips via self-paced learning, including educational assistance support
- Employee discounts - Access discounted rates and offers from a variety of providers including Bupa and MicrosoftNovated Car Leasing

We are an inclusive employer whose people work collaboratively. We encourage, support and value the various talents and perspectives of our people and promote a flexible and blended work environment where our people can thrive, and their wellbeing is supported. We know that diversity drives better client outcomes, continuous improvement, and growth. Be part of our company and together we will achieve our full potential.

We treat all individuals fairly and equitably and do not discriminate on the basis of diverse characteristics including, but not limited to gender, gender identity, sexual orientation, age, ethnicity, cultural background, physical abilities/disabilities, religious or political belief, marital or family status or carers responsibilities.

**How to apply**

MUFG Pension & Market Services is a global, digitally enabled business connecting millions of people with their assets - safely, securely and responsibly.

Through our two businesses MUFG Retirement Solutions and MUFG Corporate Markets, we partner with a diversified portfolio of global clients to provide robust, efficient and scalable services, purpose-built solutions and modern technology platforms that deliver world class outcomes and experiences.

A member of MUFG, a global financial group, we help manage regulatory complexity, improve data management and conn

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