Advice Assurance - Financial Planning Compliance

Job Title: Advice Assurance - Financial Planning Compliance
Contract Type: Contract
Location: Melbourne CBD, Victoria
Salary: AU$110000.00 - AU$120000.00 per annum
Reference: 172923_1501482659
Contact Name: Annaleise Hudson
Contact Email:
Job Published: July 31, 2017 16:31

Job Description

Our client is one of Australia's leading wealth management organisations. They strive to delight their customers by providing innovative products and services to help manage, preserve and create wealth.

As a result of organic growth in their advice business our client requires additional support in the form of an expanded compliance development team that services all advice channels from retail financial planning up to private wealth advisory.

This is a highly autonomous role promoting quality advice processes and coaching of new and existing financial planners.

This position assists planners with establishing processes and procedures that meet best practice and licensee obligations with a view of minimizing the potential for risk and compliance issues.

This opportunity will appeal to a motivated individual that is attracted to a strong brand with ample scope to advance your career within a highly regarded Major Bank with a strong wealth culture.

In this role you will have the opportunity to:

  • Review client files (both remotely and on site) for appropriateness of advice and completeness of inclusions/disclosures
  • Pre-vetting of files for planners new to the licensee or for planners under review
  • Coach planners and provide feedback on processes, procedures and best practice.
  • Pro-actively develop strong relationships with internal business and licensee stakeholders
  • Liaise with senior management in identifying and reporting on key risks or breaches as well as assisting with implementing change

You may bring to the role:

  • Prior experience in a Technical or Compliance related role within Financial Planning
  • Extensive understanding of financial planning concepts ranging in complexity
  • Experience within a Vetting or Field Audit role will be highly regarded
  • Minimum of the Diploma of Financial Planning (ADFP preferred)
  • Relevant tertiary qualification within a related discipline eg: Commerce, Finance etc an advantage
  • Excellent oral and written communication skills.

In return, you will receive a competitive salary package as well as enjoy the excellent culture from a first-class wealth practice that is led by some of the best leaders in Australia.

For a confidential discussion please call Annaleise Hudson on (03) 8080 7208 or click on the apply button below.

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