This is a great role for the paraplanning veteran who has a solid knowledge across complex strategies to take their experience to a new role influencing the planner practices in adherence to licensee obligations, legislation and compliance.
In this role you will:
- Work as part of a team who conduct either field based or desk based audits on aligned and non aligned planners and planner practices
- Identify advice risks or breaches and recommend remedial actions
- Liaise with planner and practice staff to coordinate audits and additonal information requirements
- Provide feedback to planners on changes to policies and procedures to improve audit outcomes
- Escalate issues where required to senior management
- Provide feedback and suggestions in the development of audit materials and checklists
To do this role you will need:
- Minimum of an Advanced Diploma of Financial Planning or relevant degree equivalent
- Prior experience in a paraplanning position, preferably with an exposure to adviser audit processes
- Strong understanding of compliance and advice practices and procedures
- A strong understanding of the day to day activitites of planners
- Prior experience in a compliance or vetting role within advice would be highly regarded.
- Highly effective time management and communications skills
If this role is for you then apply now, or for a confidential discussion please call Keiron Smith on (02) 8247 5712.