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03

Oct

2018

Advice Compliance Manager/Coach

My client is a dynamic and innovative well known financial services provider and currently a fantastic position is vacant for a Advice Compliance Manager/Coach to join the friendly and inspiring team based in Sydney CBD.  The role initially is a 12 month fixed term contract however there is strong confidence that this role will be made a permanent position.  

The main purpose of this role is to improve adviser and support team productivity and effectively manage advice, compliance and professional standard related activity.

Main responsibilities include:

  • Help embed a culture of quality and compliance
  • Support advisers with audit and remediation programs
  • Monitoring and supervision of activities undertaken in the general advice 
  • Manage and investigate, including leading remediation activities relating to customer complaints
  • Remain informed of all current Group policies and policy changes at an internal and ASIC level
  • Monitor and supervision including the adherence to policies and procedures via desk and face to face audits
  • Ensure the quality and compliance framework remains current via reviews against changes in legislation
  • Build, maintain and update internal policies, processes and procedures
  • Work with relevant teams to deliver quality and compliance training to teams
  • This role will require a deep and ongoing understanding of the the firms Advice business 
  • Understanding the firms Advice client experience (for both new and existing clients)
  • Engagement with ParaPlanning (Advice Construction Team) regarding linking advice policy and guidelines to SoA production
  • Monitor and remediate issues or breaches of legislation, policies and practices for the firms Advice business
  • Provide support and training to advisers and the firms Advice Leadership Team on the development of new tools or offers to meet legislative and/or business improvements relating to advice and compliance
  • Complaints resolution
  • Pre, during and post audit support, feedback and remediation activities
  • Understand the firms Advice business strategic and operational priorities, the internal and external environment and key stakeholders 
  • Overall support to foster a strong culture of quality advice within the firms Advice portfolio.
  • The role will have a big emphasis on coaching, you will need to be proactive in improving the advice standards across the practice, not just in terms of compliance.
  • Identify opportunities for improvement in the team and put together strategies and plans to lift the standards accordingly, factoring in any developments across the industry/regulatory framework (ie findings from the royal commission etc).
Experience required:
  • 5+year’s financial services industry experience in providing advice and/or compliance support and/or direction to financial advisers and practices;
  • Willingness to travel on a semi-regular basis as required
  • Experience in presenting and/or facilitation is preferred
  • Experience in advice tools and technology will be highly regarded
  • Proven experience in making decisions that improve the adviser and client experience whilst minimising risk
  • Sound knowledge and capacity to apply compliance and legislative requirements and identify risks within the advice documents reviewed 
  • Sound knowledge of the compliance process as related to financial planning including the principles of quality advice, regulatory and compliance obligations and risk management
  • Minimum Business, Legal or Compliance related Degree or Diploma
  • Minimum RG 146 compliant although preference is for ADFS qualification
  • CFP, Masters related or equivalent qualifications will be highly regarded
To be considered for this exciting and highly rewarding opportunity, please submit your resume asap.  To find out more about this role confidentially, please contact Toby Walsh from Ensure Recruitment on 0404971247 or email t.walsh@ensurerecruitment.com.au

Please note ALL applications will be treated in strictest confidence.

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