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 motivated and detail-oriented workflow Analyst to manage all aspects of workflow for the Paraplanning business, including data entry, quality checks, allocations, reporting inputs and oversight, to ensure Quality Advice is delivered to clients in a timely manner.
About the role:
- Carry out quality control and necessary checks on SOA Requests as dictated by policies and procedures
- Process workload in an efficient, accurate and timely effective manner, ensuring that service level agreements & standards are met, and a high quality of service is provided to stakeholders
- Liaise with internal stakeholders and external service providers, ensuring that instructions, inquiries and queries, are acted on efficiently and effectively
- 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
- Identify opportunities for productivity improvements to systems & procedures, and bring to the attention any problems or issues identified that might impact on the level and quality of service provided
Ideally the successful candidate should possess:
- 4+ years experience in a Paraplanning, Financial Planning or Compliance (within the Financial Planning sector) role
- Strong working knowledge of X-Plan
- Effective time management and attention to detail
- Proven experience in auditing of SOA's and or substantial experience creating complex SOA's
- Confident to raise awareness of non-compliant SOA's and provide guidance on how to achieve a compliant, in client best interest SOA
For more information or a confidential discussion, please contact Annaleise Hudson quoting reference 193999.
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