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Quality Assurance Specialist
2 months ago
- 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
- Assist team members with other risk management and compliance tasks as required
- 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 stakeholders
- 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 Microsoft
- Novated Car Leasing
