Advice Compliance Analyst

Summary about this job

Detail information about job Advice Compliance Analyst. Terms and conditions vacancy

• Autonomous and Varied role
• Fast-paced and Dynamic environment
• The role will suit someone with experience seeking the next step

We are an established financial planning firm operating two licenses with separate and different operating structures.  One license operates a centralised, salaried financial planning practice; and the other with a self-employed authorised representative operating model. We are looking to grow the business and develop existing advisers. 

The purpose of this role is to provide Compliance and Assurance support in vetting and approving personal advice for appropriateness and compliance - in line with relevant policies, legislation and regulatory guidelines. Influencing and sharing insights to reduce instances of inappropriate advice.

You will be responsible for the auditing of the advice provided by our advisers, providing a critical focus on regulatory, risk and compliance issues impacting our licensees. This is an autonomous and varied role that offers a mix of audit analysis, compliance coaching and regulatory compliance of the license.

This role will suit someone with at least three years financial planning experience and seeking their next step. You may have a para planning, technical or compliance background, looking to further your career and a commitment to assisting advisers. Someone who can work in a fast-paced and dynamic environment, independently, with excellent time management and relationship management skills. An ability to handle multiple work streams is essential, as is knowledge of the financial advice industry.

The role will require travel.

Your key responsibilities will include:

• Conduct audits, spot checks, pre- vet and post vet  
• Remediation if required
• Develop and facilitate compliance training 
• One on one compliance coaching of advisers
• Provide assistance in relation to the licensee compliance framework
• Foster and inspire a culture of compliance

Ideally the applicant will have:

• Previous exposure the personal financial advice process, wealth management, wealth products or complaint management processes
• Experience in the delivery of advice to end clients
• Experience in the compliance requirements in the delivery of financial advice
• Attention to detail

Must:

• Be RG146 compliant
• Have TPB requirements for tax (financial) adviser, or be working towards
• Education to degree level (preferably in law, finance or related discipline)

Please email you resume detailing your qualifications work experience to the email address below.