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Quality Assurance

2 weeks ago

Parramatta, Australia Link Group Full time

**Overview**

The role is responsible for ensuring Link Advice authorised representatives meet their ongoing compliance obligations.

The role will form part of and collaboratively contribute to the Link Advice team that is responsible for the behaviour and performance of its financial advice team.

**This role is for 12 months Fixed Term Contract.**

**Key Accountabilities and Main Responsibilities**
- Complete Compliance reviews of Link Advice financial advice files, including general advice
- Regularly monitor Advice call recordings as part of the compliance audit requirements and as instructed by the Compliance Manager
- 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 Link Group Incident reporting software
- Liaise and work with the Link Advice compliance and management teams
- Provide administrative support to Compliance Managers; and
- Assist team members with other risk management and compliance tasks as required.
- Governance & Risk
- Ensure adherence to legal and regulatory requirements
- Support Link Group assurance programs that deliver effective risk management and compliance practices

**Experience & Personal Attributes**
- 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 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

Link Group is a leading fund administration and share registry specialist. We are a market leading provider of technology-enabled administration solutions, continually developing our offerings to expand with our clients' needs. Since our inception, Link Group has been entrusted by clients to handle sensitive data in a secure and confidential manner. Our core businesses of fund administration and securities registration are complemented by our expertise in digital solutions and data analytics.

Our Retirement & Superannuation Solutions division combines its proprietary technology, process and people to deliver a comprehensive financial data solution to its superannuation clients. We support clients across all superannuation fund sectors including government, industry, retail and corporate.

By accompanying our core member and employer administration with a full range of value-added services, we offer the most comprehensive superannuation administration solution on the market. The scale, adaptability and ease of use of our proprietary systems, in conjunction with our integrated analytics offering, allow us to innovate and grow with the needs of our clients.

Link Group is building a dynamic, client focused, caring and inclusive culture that is built on the foundations of an entrepreneurial spirit, effective risk management, empathy and trust, and underpinned by its core values.

We are an inclusive employer whose people work collaboratively. We encourage, support and value the various talents and perspectives of our people and promote a flexible and blended work environment where our people can thrive and their wellbeing is supported. We know that diversity drives better client outcomes, continuous improvement, and growth. Be part of the Link Group journey and together we will achieve our full potential.

We treat all individuals fairly and equitably and do not discriminate on the basis of diverse characteristics including, but not limited to gender, gender identity, sexual orientation, age, ethnicity, cultural background, physical abilities/disabilities, religious or political belief, marital or family status or carers responsibilities.