Compliance and Advice Documentation Manager

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. Reporting directly to the Head of, you will be responsible for developing and embedding a comprehensive list of advice documentation and licensee standards to drive the business in productivity and quality advice.

  • Provide strategic input on technical and policy issues relating to the provision of financial advice, the distribution of financial products and compliance with regulatory requirements.
  • Guide the strategy and development of new policies for the advice business
  • Implement and improve advice documents
  • Ensure advice documentation are simple & clear to support the delivery of quality advice
  • Develop and delivery presentations, webinars, technical content, user guides and training material
  • Must keep up to date with legislation requirements
  • implementation and maintenance of licensee standards 
  • Provide training regarding licensee standards

Skills and Experience

  • Detailed knowledge and understanding of financial planning regarding policy and legislative issues
  • A minimum of 5 years’ experience in the financial planning industry within roles such as senior paraplanner, compliance, audit 
  • Degree qualified and ADFP
  • XPlan financial planning software experience
  • Well-developed written and verbal communication skills
  • Project management skills
  • Experienced in writing advice Doc’s is essential

To express your interest in this opportunity, please forward your resume by clicking the “Apply Now” link!

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Compliance and Advice Documentation Manager

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