Financial Advice Audit Consultant - Brisbane CBD

Reference Number:
2612734 - 21
Work Type:
  • Flexible working environment (work/life balance)
  • Innovative and dynamic organisation
  • Fantastic career path opportunities
My client currently has a new opportunity for a Senior Compliance Audit Consultant (Financial Advice) to join the successful Brisbane CBD team. This is a very rewarding and challenging role allowing you to influence key stakeholders and make a real impact.  

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
Experience Required:
  • Proven experience in either a Paraplanning, Financial Planning or Financial Advice Compliance related role (ideally having financial advisor audit experience is highly desirable)
  • 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 (Advanced Diploma of Financial planning) Qualified is a MUST
  • Degree qualified a MUST
Please email your resume via the link below or to hear more about this role and other opportunities confidentially across the Wealth Management sector, please contact Toby Walsh on 0404971247 or via email
Date Posted:
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Consultant name: 0404971247

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