Compliance Manager – Financial Planning

  • Melbourne CBD
  • $100k – $120k package
  • Advice Audit and Coaching
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 Manager to join their high performing team.

Role Overview

This position involves auditing and reviewing the work of financial planners, ensuring regulatory requirements and customers best interests are met.

  • Primarily you will be conducting advice reviews to a portfolio of advisers nationally to identify any compliance or regulatory breaches.
  • Effectively managing relationships with advisers and Practice Managers through a collaborative audit process.
  • Providing advice coaching and guidance to all advisers.
  • Assist in the implementation of all legislative and regulatory changes across the business 

 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 financial services firm to take on an autonomous role. 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 Manager - Financial Planning

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