Advisor Audit Consultant

Job Title: Advisor Audit Consultant
Contract Type: Permanent
Location: Sydney CBD, New South Wales
Salary: Negotiable
Reference: 176103_1502337764
Contact Name: Keiron Smith
Contact Email:
Job Published: August 10, 2017 14:02

Job Description

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.

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