Advice Compliance Specialist

Company Overview

Our client is one of Australia’s leading Wealth Management groups, providing Wealth Management products to its clients via a range of well-regarded brands. They are committed to attracting high performing people and offer a positive and collaborative working environment, where career development is strongly encouraged and supported.
 
Role Overview
 
As the Compliance Specialist you will be responsible for ensuring end to end advice process is embedded consistently and compliantly within the advice business. You will review the delivery of advice and provide any coaching and feedback required to Advisers.
 
Skills and Experience

  • Demonstrate experience in audit, remediation, policy or planning
  • Strong understanding of advice policies and standards essential 
  • In depth understanding of Advice processes within a financial planning practice 
  • at least 2 to 3 years experience within financial planning 
  • Ideally complete or near completion of Advanced Diploma of Financial Planning

To express your interest in this opportunity, please forward your resume to Kimberley using the “Apply Now” link below 

Connect with me to hear about similar roles not yet advertised https://au.linkedin.com/in/kimberleywenn

Advice Compliance Specialist

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