Compliance Development Manager – Financial Planning

Company Overview

An iconic name in the financial services industry, this is an employer of choice. Leading the way in the provision of high-quality wealth advice, this major institution is looking to source a Compliance Development Manager to provide compliance consultancy services to a wide channel of advice businesses.

Role Overview

This position involves auditing and reviewing the work of financial planners, across a number distribution channels in respect to ensuring regulatory requirements and customers best interests are met.

  • Primarily you will be working with various dealer groups and financial planning practices and auditing and reviewing files in line with FOFA and provision of quality advice.
  • Supervising, evaluating and managing compliance risks within adviser practices for various Advice channels and locations.
  • Effectively managing relationships with advisers and Practice Managers through a collaborative audit process.
  • Providing advice coaching and guidance to all advisers.

 Skills & Experience

  • Detailed understanding of financial planning concepts, processes and product types and their application.
  • Previous experience in compliance, vetting or audit role with advice
  • Ability to plan your own timetable and work autonomously
  • High attention to detail and good time management skills
  • Degree qualified and ADFP.

What’s on Offer

This is an outstanding opportunity with a highly respected bank to take on an autonomous role that has a market leading base/bonus structure as well as a positive work-life balance. Playing an integral part in the future of the financial advice industry, you will be surrounded and supported by experienced qualified professionals who enjoy a workplace driven by success and growth. 

Click on the APPLY button or contact Steve Kelly on 03 9602 9860

Compliance Development Manager - Financial Planning

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