Professional Standards Officer Wealth Management

7 months ago

Sydney, Australia Robert Half Full time

Newly created role for an established wealth management business with a national presence, responsible for pre-vetting financial advice and presenting

**The Company**

A leading firm with a national presence, who are heavily backed by an international bank, this business has been a leader in their sector and offer tailored advice, investment solutions and corporate advisory to a wide range of clients.

**The Role**

***

As the Professional Standards Officer, this role will have responsibilities including, but not limited to:

- Regular reviews and pre-vetting of Statements of Advice
- Reviewing financial planning documents and assisting advisers in meeting regulatory obligations
- Presenting 1-on-1 training sessions covering advice formulation, regulatory compliance, and related topics.
- Identifying operational risks within the business operations and devise effective policies and procedures to mitigate them.
- Conducting comprehensive training sessions covering advice formulation, regulatory compliance, and related topics.

**Your Profile**
- A strong understanding of the Financial Advice and wealth environment Sector
- Prior experience as a Financial Adviser/Planner would be highly regarded.
- Relevant Tertiary qualifications (Business, Finance, Commerce etc)
- Strong written, and verbal communication skills

**What's In It for You**:

- An established firm, with a national presence and multi-office locations.
- Opportunities to travel interstate and collaborate with other teams, as needed.
- Exposure to Senior leadership for personal growth and development

*

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