Professional Standards – Risk & Compliance

Company Overview 

A financial services company which leads the industry in brand perception, service levels and diversity of products. The business is known as one of the most dynamic and diverse groups in their operating space, having a major presence both here and abroad.

Role Overview 

Due to someone going on leave within the team, our client is now looking for a Compliance & Audit Coach to join them. You will be responsible for coordination and assistance in the implementation, development and monitoring of Authorised Representatives. You will be tasked with developing a robust compliance culture within the business, An autonomous and varied role that offers a mixture of compliance and business coaching. This is a great opportunity for a financial planner or paraplanner looking to transition into compliance and advice coaching.
Duties and Responsibilities:

  • Ensure compliance and operational are in practice
  • Manage compliance incidents as they occur
  • Identify training needs, areas of improvement and potential licensing threats
  • Design and implement coaching plans for practices and advisers
  • Identify opportunities to improve and streamline processes to enhance adviser and customer experience

Skills and Experience required:

  • A thorough knowledge of all legislation and regulation to the advice and sale of financial products
  • Ability to deliver high-quality coaching to Practices and Advisers
  • Ability to build strong relationships with Advisers
  • DFP/ADFP qualified
  • Advice and strategy knowledge
  • High-level communication and presentation skills

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

Professional Standards - Risk & Compliance

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