FINANCIAL
ADVICE
This is a new role
within a Financial Services Organisation going through growth.
They are part of a
LARGE WELL KNOWN FINANCIAL SERVICES BRAND
Reporting to the
Head of Professional Standards,
this role will involve:
·
Build
relationships and provide support to advisers / authorised representatives
Build
relationships and provide support to advisers / authorised representatives
·
Monitoring
and supervision including identifying and providing training, areas of
improvement and potential regulatory risks
Monitoring
and supervision including identifying and providing training, areas of
improvement and potential regulatory risks
·
Reviewing
supporting documentation including marketing material, etc
Reviewing
supporting documentation including marketing material, etc
- Training
/ coaching advisers to achieve compliance standards - Point
of contact for compliance related enquires
The ideal candidate
will have:
·
A
strong understanding of the advice process with an up to date knowledge and
understanding of advice regulations including FOFA, AFSL, etc.
A
strong understanding of the advice process with an up to date knowledge and
understanding of advice regulations including FOFA, AFSL, etc.
·
4+
years’ experience in either a compliance role in financial advice or as a para
planner / financial planner
4+
years’ experience in either a compliance role in financial advice or as a para
planner / financial planner
·
Excellent
communication and relationship building/management skills
Excellent
communication and relationship building/management skills
·
Desirable:
Financial Service Industry Qualification such as a Diploma or advanced diploma
of financial planning.
Desirable:
Financial Service Industry Qualification such as a Diploma or advanced diploma
of financial planning.
You might be working
in compliance role in a dealer group or in a professional standards role or you
might be a Financial Planner / Para Planner with a strong desire to move into
compliance / service oriented role.
We are currently
shortlisting so please send your resume to Vicki Williams at Compliance
and Risk Management Recruitment (Vicki@crmrecruitment.com.au) or
call Vicki on 02 9247 6655.