Financial Planning/ Compliance Administrator

Summary about this job

Detail information about job Financial Planning/ Compliance Administrator. Terms and conditions vacancy

A small private wealth business in the CBD with their own AFSL and dealer services. 
This is a fantastic chance to further your career within a respected and growing business in a friendly, relaxed environment. They are independent and non aligned to a large institution and all their clients are long standing and mostly HNW. 

They have over 20 Authorised Representatives on their AFSL and two very experienced Financial Advisers directly employed. You will be working closely with for the license part of the business, supporting the Compliance Manager. 

The Role 

• Handle incoming inquiries from new clients
• High level administration support to the advisers including applications, FDS and opt ins  
• Assist with queries from existing clients
• Prepare and maintain client files insuring accuracy and compliance requirements are met
• Assisting Advisers with diary management, booking appointments and insuring they are prepared for client meetings
• Liaise with the in house Compliance teams to co-ordinate client files are ready
• Assist with ad-hoc queries from Advisers on the license 

Requirements

• DFP qualified or RG146 preferred but not essential 
• Have minimum 2 years previous experience in an administration role
• Have excellent attention to detail and organisational skills
• Be able to communicate well with advisers face to face and over the phone
• Ability to work as part of a tight knit team