Advice Quality

**Overview**
- The role is responsible for ensuring the MUFG Retie360 (previously Link Advice) compliance team meets their license obligations. This leadership role is responsible for the maintenance of the advice standard of MUFG Retire360 by ensuring that our policies, risk and compliance reflect the expectations of the community, the regulators and our clients. The aim of this role to lead a team that passionately believes in the continual improvement of the quality of advice provided by MUFG Retire360

**Key Accountabilities and main responsibilities**
- Strategic Focus
- Work collaboratively with RSS Risk and Compliance teams to ensure a consistent approach to the management of MUFG Retire360’s risk and compliance.
- Monitor, collaborate and interpret the regulatory environment recommending changes to MUFG Retire360 policies and processes to ensure the business maintains its compliance with the regulatory environment and community expectations.
- Role model a culture of compliance and members best interest to your team and the broader MUFG Retire360 and RSS businesses.
- Ensure a consistent approach to quality and compliance reviews across the team.
- Ensure that the advice guides and policies of MUFG Retire360 are up to date, reviewed in accordance with our obligations and available as required to support the provision of compliant advice.
- Manage the education and training of MUFG Retire360 and its Authorised Representatives to meet the obligations as determined by legislation of business need
- Operational Management
- Ensure MUFG Retire360 meet its SLA’s on file audits, call reviews and other obligations as determined from time to time
- Responsibility for the timely resolution of member complaints in accordance with the MUFG Retirement Solutions standard and regulatory obligations
- Manage the effectiveness of the Breach committee and its outcomes
- Lead and manage the Quality and Compliance Team to meet business outcomes
- Assist in the collation and development of compliance reports for both internal and external distribution
- Administering the onboarding of new advisers including education gap analysis, and adherence to education policies
- Managing the onboarding and off boarding of advisers including the management of ASIC
- Monitor and update the advice policies of MUFG Retire360
- People Leadership
- Lead, motivate and inspire the team to own and deliver on the MUFG strategy
- Ensure effective communication within the team
- Deliver communication on issues in a timely fashion to your team
- Actively encourage open and honest two-way communication within your team and across MUFG Retire360
- Provide opportunities on a regular basis to communicate and meet with team members
- Governance & Risk
- Manage your team in line with MUFG Retire360 and MUFG Retire360’s established risk and compliance framework.
- Lead by example role modelling a compliant culture focused on member outcomes and acting in their best interest
- Look to continually improve processes, procedures and the culture to maintain and manage our risk profile
- The above list of key accountabilities is not an exhaustive list and may change from time-to-time based on business needs.

**Experience & Personal Attributes**
- An understanding of the advice industry and the regulatory framework that supports the delivery of compliant advice
- An ability to review, interpret and communicate regulatory change to internal stakeholders, Advisers and clients
- A working knowledge on the advice process to assist in the continual improvement of the quality of advice
- A core belief and understanding of advice compliance and risk
- A team player who seeks to deliver on strategic outcomes
- Over 2 years experience in management, operation and function of financial planning
- Over 5 years knowledge of financial planning including technical strategies, advice documentation and legislation
- Preferred to have attained a post graduate qualification in Financial Planning
- Preferred to have passed the Adviser Exam
- A thorough understanding of the Code of Ethics.

MUFG Pension & Market Services is a global, digitally enabled business that empowers a brighter future by connecting millions of people with their assets - safely, securely and responsibly.

Through our two businesses MUFG Retirement Solutions and MUFG Corporate Markets, we partner with a diversified portfolio of global clients to provide robust, efficient and scalable services, purpose-built solutions and modern technology platforms that deliver world class outcomes and experiences.

A member of MUFG, a global financial group, we help manage regulatory complexity, improve data management and connect people with their assets, through exceptional user experience that leverages the expertise of our people combined with scalable technology, digital connectivity and data insights.

Our MUFG Retirement Solutions division combines its proprietary technology, process and people to deliver a compr