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.
  
Responsibilities:

  • 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!

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

Compliance and Advice Documentation Manager

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