Professional Standards Officer
Great opportunity for a Professional Standards Officer in a National boutique Wealth Management Company. Melbourne, Sydney or Brisbane based.
Summary about this job
Compliance & Risk
Company: Optimum Consulting Group
Location: Sydney
Work type: Full Time
Salary: n\a
Phone: +61-2-7735-6882
Fax: +61-3-1163-5921
E-mail: n\a
Site: n\a
Detail information about job Professional Standards Officer. Terms and conditions vacancy
- Melbourne, Sydney or Brisbane based
- Very visible, permanent role
- Up to $100,000 base salary
The Company
National boutique Wealth Management Company renowned for its customer service and innovation in the industry. Are you looking for a change from the bureaucracy of a large organisation? Are you seeking autonomy and inclusion? This might be the opportunity you are looking for!
The Opportunity
This role will challenge you and require a solution orientated approach and in return will offer the opportunity to advance your career. Reporting to the Head of Professional Standards, the ability to engage with Management, Advisers and external parties in a professional and diplomatic manner is critical for success.
Duties
- Evaluate and manage compliance risks within adviser practices for the advice channels
- Develop and maintain support tools, systems, policies and guidelines for advisers ensuring regulatory requirements are adhered to
- To assist with adviser supervision, including audits of all authorised representatives and assist with pre-vetting of new adviser Statements of Advice
- To respond to compliance queries from advisers and to provide support to the Head of Professional Standards
Skills & Experience
- Experience in compliance within financial planning: ideally previous experience as a financial planner
- Experience in one or more related disciplines - financial planning, legal, regulatory or auditing.
- A minimum of DFP or Diploma of Financial Services (Financial Planning)
- Tertiary qualification in a related discipline such as Business, Law or Finance. Diploma in Financial Planning, CFP Qualified, Affiliate or Associate of FINSIA.
Culture
With an engagement score in the high 70% this is a great team to join and grow within. Excellent opportunity to be mentored and developed with the opportunity to suggest continuous improvement.
Benefits
- Excellent Career progression
- Flat structure
- Flexible working arrangements
- Salary up to $100,000 plus Superannuation
How to Apply
Click APPLY or contact Isaac Dufficy on 07 3228 8423 / [email protected] for a confidential discussion.