The role will see you accountable for how the firm delivers and develops quality and compliant financial advice solutions. The purpose of this role is to support the delivery of the National Compliance and Audit program across all licensees. The role is designed to assist the firm manage licensee risk and compliance obligations relating to planner advice, ongoing service and activity. This role will see you support financial planners in improving the quality of the advice and service they provide to clients and to assist them in managing their business risk and compliance obligation. The role will also involve managing initiatives, projects and reporting associated with audit and vetting activities.
Main Duties include:
- Ensure financial planners satisfy all regulatory and legal requirements
- Delivery of the adviser audit program by completing adviser quality reviews
- Identification of systematic issues and appropriate reporting and delivery of remedial training and assistance
- Assistance with due diligence by conducting file reviews and compliance interviews for new adviser recruits
- Ensure advisers complete all remedial actions arising from the audits
- Proven experience in either a Paraplanning, Financial Planning or Financial Advice Compliance related role
- Strong knowledge and understanding of the compliance process as it relates to financial planning
- Strong knowledge and understanding of ASIC code of practice ideally.
- Strong knowledge of the financial planning/advice industry
- ADFS/RG146 Qualified is a MUST