Advice Review - Case Manager

Summary about this job

Detail information about job Advice Review - Case Manager. Terms and conditions vacancy

• 6 Month Contract based in the Sydney CBD
• An innovative, flexible and collaborative work environment

Due to expected increased workload, the client is expanding their team of Case Managers. The advice review team has been tasked with reviewing the advice provided by authorised representatives. As the Advice Review Case Manager, you will be responsible for assessing the financial planning client files and related data to check the appropriateness of the advice provided, assess detriment, document findings and put forward a recommendation in an efficient, accurate and timely manner. In some instances, the assessors will deem the advice was inappropriate and therefore the client will require compensation.


Key responsibilities:

• Analyse financial advice given by advisers to assess the appropriateness of the advice provided, prepare responses/recommended actions and prepare external submissions
• Identify and escalate potential breaches, prepare action plans and brief all parties
• Ensure timely, effective and professional resolution where inappropriate advice is determined
• Apply the correct processes, including risk management policies, to ensure consistent processes and outcomes that align with companies best practice
• Undertake quality review checks of other team member's work
• Liaise and form relationships with key support departments within the organisation to assist in the delivery of timely service
• Behave in a professional and ethical way and ensure compliance with relevant legislation, bank standards and internal operating policies and procedures relevant to the position.

Key requirements:

• Qualifications relevant to the Financial Planning industry (a Relevant Undergraduate Degree and a quality Diploma in Financial Planning as a minimum, ADFP an advantage)
• 3+ years financial services industry experience, with sound knowledge of financial products (required)
• Previous roles or exposure to Advising, Paraplanning, Compliance and Financial Planning experience (required)
• Prior experience within a Advice Remediation Project (highly desirable)
• Candidates will possess strong personal ethics with highly developed analytical and investigative skills
• Ability to review advice decisions based on file documentation and supporting information and form a determination of appropriate or inappropriate advice.

To apply please click apply or call Ilze Du Preez on 0282 893 163 for a confidential discussion.