
Advice Compliance Expert
3 days ago
This is a six-month opportunity to collaborate with our Practice Management team as an Advice Assurance Specialist.
About the PositionWe are seeking a highly skilled professional with extensive knowledge of financial products and advice strategies, complemented by a profound understanding of financial services legislation and regulatory requirements.
- Review and assess personal advice prepared by new and existing Financial Advisers
- Collaborate with Advice Coaches, Team Leaders, and other management to resolve identified advice quality matters in a timely manner
- Examine the quality and compliance of personal advice prepared through the Online Advice channel
- Raise issues/incidents identified and record findings in our risk management tool
- Advanced Diploma of Financial Services (Financial Planning) or equivalent tertiary qualification
- Moderate expertise in financial planning software (e.g. Xplan/Midwinter)
- Ability to work autonomously with a high degree of initiative and motivation
- Current registration on the ASIC Financial Advice Register as a Financial Planner
- 14% super as standard
- Comprehensive training and development opportunities
- Flexible working arrangements including end-of-trip facilities, yoga room, multi-faith room, parent and carer rooms, quiet rooms, coffee facilities, and collaborative team spaces
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Financial Advice Compliance Specialist
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