Newly created role - make your mark! Excellent support
Attractive incentives and realistic career path opportunities
Be surrounded by a knowledgeable team
My client is a large and innovative leading financial services provider and due to organic growth a fantastic and highly rewarding permanent opportunity has become available for a Quality Para planning Assurance Consultant to join the fun friendly and professional team based in the stunning offices in the Melbourne CBD.
This department is accountable for how they detect whether the advisers provide and deliver quality, compliant, and client-focused advice. The Quality Assurance team conducts Audits on internal advice support teams such as Audit, Vetting and Para planning to ensure advice is compliant and in the client’s best interest.
The role requires execution of targeted Quality Reviews for Para planning in alignment with the guidelines of the adviser audit program. The role is designed to assist manage licensee risk and compliance obligations that relate to planner advice, ongoing service and activity.
Purpose of the role
Support the delivery of the Monitoring & Supervision Program across all licensees.
Undertake targeted Quality Reviews for Para planning
Assist with continual improvement to the audit/check function and the systems used by the team
Creating and maintaining the Quality Assurance (Peer Review) program within the Para planning Function
Completing quality assurance reviews, providing accurate feedback to team members & relevant coaching
Assist and support Para planners to improve the quality of the advice and service their advisers provide to clients and to assist them in managing their business risk and compliance obligation through support of the advice process.
Ensure that there is continual improvement to the audit/check function and the systems that are used by the team in the Para planning process.
Responsible for creating and maintaining the Quality Assurance program within the Para planning Function.
Lead and conduct evaluations of soundness and adequacy of controls, identify process improvements in the Para planning program.
Completing quality assurance reviews, providing accurate feedback to team members & relevant coaching.
Identification of systemic issues and appropriate reporting and delivery of remedial training and assistance.
Advanced Diploma of Financial Services (ADFS) AND Tertiary qualifications relevant to the field of financial planning and advice preferred
Demonstrated experience in advice and/or compliance related field preferably in a financial planning audit
Strong knowledge of the financial services/financial planning industry and practice
Strong understanding and knowledge of the compliance process as it relates to financial planning
Sound knowledge of the principles of quality advice provision, regulatory and compliance obligation and risk management.
To be considered for this truly amazing role, please click the "APPLY" button to forward a copy of your resume or to find out more about this opportunity please contact Paul Zantuck from Ensure Recruitment on 03 8637 7320 or email firstname.lastname@example.org