Quality Advice Leader

2 days ago

Sydney, New South Wales, Australia beBeeCompliance Full time $110,000 - $140,000
Job Overview

This senior leadership role is pivotal in ensuring our organization meets its license obligations. The primary focus lies in maintaining the highest standards of advice quality by ensuring our policies, risk management, and compliance reflect community expectations, regulatory requirements, and client needs.

The ideal candidate will lead a team that shares a passion for continually improving the quality of advice provided. Key responsibilities include:

  • Strategic Collaboration: Work closely with Risk and Compliance teams to ensure a cohesive approach to managing risk and compliance.
  • Regulatory Expertise: Monitor, interpret, and communicate regulatory changes to internal stakeholders, Advisers, and clients, recommending updates to policies and processes as necessary.
  • Culture Leadership: Model a culture of compliance and member best interests within the team and broader organization.

To maintain consistency in quality and compliance reviews across the team, ensure that advice guides and policies are up-to-date, reviewed according to our obligations, and accessible as required to support compliant advice provision.

Operational Excellence
  • Ensure timely completion of file audits, call reviews, and other obligations as specified.
  • Timely resolution of member complaints in accordance with our standards and regulatory requirements.
  • Effectively manage the Breach committee and its outcomes.
Leadership Development
  • Lead, motivate, and inspire the team to deliver on our strategy.
  • Foster effective communication within the team.
  • Deliver timely communication on issues to the team.
Governance and Risk Management
  • Manage the team according to our established risk and compliance framework.
  • Role model a culture focused on member outcomes and acting in their best interest.
Experience and Qualifications

Proficiency in the advice industry and regulatory framework supporting compliant advice delivery. Ability to review, interpret, and communicate regulatory changes. Working knowledge of the advice process to drive continuous improvement in advice quality. Core understanding of advice compliance and risk management.

A team player seeking to deliver strategic outcomes. Minimum 2 years of experience in management, operations, and functions related to financial planning. Preferred qualifications include a postgraduate qualification in financial planning and passing the Adviser exam.

A thorough understanding of the Code of Ethics is essential.

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