Quality Assurance Specialist
2 weeks ago
The Quality Assurance Specialist will play a crucial role in ensuring that Link Group's authorized representatives meet their ongoing compliance obligations. This position will be part of the Link Group team responsible for the behavior and performance of its financial advice team.
Key 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 Group 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 Group compliance and management teams.
- Provide administrative support to Compliance Managers.
- Assist team members with other risk management and compliance tasks as required.
- Ensure adherence to legal and regulatory requirements.
- Support the development of assurance programs that deliver effective risk management and compliance practices.
- 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.
- Agree to complete agreed CPD training.
- Flexi Works – 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.
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