Advice & Compliance Coach

18 hours ago

Brighton, Victoria, Australia 52142d8b-01a7-4952-a8df-4422d7983ebe Full time $90,000 - $120,000 per year

The opportunity

We are looking for an experienced compliance officer or financial advice professional looking for a career change, to join a growing boutique financial services business supporting a national team of advisers & help oversee a culture of compliance where quality advice is supported by a commercial compliance framework.

Spark Financial Group manages two AFS Licenses – Axies Pty Ltd and Spark Advisors Australia Pty Ltd - and has offices in Brighton, Victoria and Brisbane CBD. This role will be based out of our Brighton office.

Reporting to the Head of Professional Standards & Governance, this important role offers excellent scope for you to contribute to an exceptional advice and compliance team and enhance your career development.

Primarily you will:

  1. support and supervise the advice activities of financial advisers;
  2. identify, evaluate, report and manage compliance risks; and
  3. provide guidance, training and support to advisers and staff in relation to the compliance requirements for financial advice.

This is to be delivered in the form of advice pre-vetting, advice monitoring, audit reviews, coaching meetings, and Continuous Professional Development. You may also participate in specific projects as required.

What we offer

Spark Financial Group is a 100% Profit-for-Purpose financial services group and will be supporting several impact initiatives to improve the wellbeing of those in need. We seek a candidate whose values are aligned to our purpose, to join a highly respected team with a professional reputation within the Australian market which in turn sees our business continue to grow year on year.

As a valued team member, you will be rewarded with:

  • Competitive salary package.
  • Excellent work environment and culture.
  • Flexible working arrangements.
  • Diverse range of activities that will utilise and build upon your skills and experience.
  • Access to employee benefits including the Spark Employee Assistance Program; and discounts from a range of commercial providers.

Skills & Experience.

  • Minimum 2 years experience in a Compliance, Paraplanning or Associate Adviser role
  • Demonstrable experience across all facets of compliance & AFSL governance
  • Exposure to using Xplan Software is highly regarded
  • Relevant tertiary / industry qualifications
  • Satisfactory pass of Financial Adviser Exam is highly regarded
  • Understanding of relevant regulatory obligations and their application
  • Strong knowledge of the financial planning industry including demonstrated knowledge of the financial planning advice process, concepts, strategies and compliance requirements
  • Excellent relationship management and communication skills
  • Willingness to contribute new ideas and innovation
  • Strong organisational skills and the ability to work to deadlines

If you have the necessary skills and experience and feel you would be a great fit to our team, please apply now.

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