This leading Australian Major Bank has a highly successful Advice business that provides holistic wealth advice solutions to Retail, Commercial, Agri, Health, Affluent and HNW customers.
Their model provides diverse career pathways for motivated and successful individuals looking to advance their careers with an organisation that holds existing warm relationships with customers of all levels of sophistication and complexity.
This is a well-established financial planning business with a significant share of the Australian financial advice market and an unparalleled opportunity has arisen for a driven and energetic Compliance/Quality Assurance Manager to ensuring the Financial Planning Team delivers high quality and compliant Advice documents to its clients, and to provide training, development and technical support to Paraplanners and Financial Planners.
About the role:
- Building strong relationships with Paraplanners, Financial Planners, Regional Managers, General Managers and other relevant stakeholders
- Provide ongoing and ad hoc compliance, technical & software support to the Paraplanning Team and wider Financial Planning Business
- Checking and vetting Statements of Advice, ensure they meet quality & compliance standards, and providing feedback
- Ensure information contained in advice documents is relevant, and easy to understand for staff & clients.
- Provide innovation and support to the business via a continuous improvement ideology
- Work on projects, then Design & deliver training to minimize production time of the preparation of SOA's to clients (e.g. reviewing Licensee Standards and software utilization and design).
- Proactively manage risk; meet all policy and compliance requirements; perform controls; adhere to Process and Procedures pertinent to role; and escalate events, issues or breaches as they are identified
Ideally the successful candidate should possess:
- 4+ years experience in a Compliance role with the Financial Planning sector
- Sound working knowledge of X-Plan
- Effective time management and attention to detail
- Proven experience implementation & ongoing monitoring of compliance framework
- Confident in training and developing staff to ensure they meet client best interest standards
For more information or a confidential discussion, please contact Annaleise Hudson quoting reference 191398.
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