Quality Assurance Officer

Job Title: Quality Assurance Officer
Contract Type: Permanent
Location: Sydney, New South Wales
Salary: Negotiable
Start Date: ASAP
Reference: 198365_1569483958
Contact Name: Fiona Lu
Contact Email:
Job Published: September 26, 2019 17:45

Job Description

Our client is one of Australia's Leading ASX Top 100 financial services organisations, who strive to achieve best outcomes for their customers, providing innovative products and services to help manage, preserve and create wealth and allow their clients true independence.

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 financial services business, with a strong client focused culture.

Key role responsibilities:

  • 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
  • To review and assess Adviser behaviour, coach 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
  • Identify and communicate risks in existing, improved and new processes
  • Be aware and ensure adherence of changes to legislative, regulatory requirements and policies

Skills and Experience required:

  • Graduate Diploma in Financial Planning, CFP or similar industry qualification
  • Extensive prior experience in a Technical, Compliance, Financial Planning or Paraplanning position
  • Thorough understanding of financial planning concepts, advice compliance issues, vetting and field Audit ranging in complexity
  • Sound computer literacy
  • Driver's License and own vehicle
  • High level communication skills (both verbal and written)
  • Strong attention to detail and prioritisation skills

Culture & Benefits:

  • Flexible working hours
  • National Travel
  • Competitive salary package
  • Excellent culture from a first-class wealth practice that is led by some of the best leaders in Australia

Please apply by the link below or email Fiona Lu directly on email or call on 02 8247 5703 for a confidential discussion.