Financial Planning business based in Pagewood, NSW.

To provide comprehensive technical and administrative support for financial advice processes, focusing on research, modelling, and document preparation to ensure accurate and compliant client recommendations.

In addition, this role is responsible for overseeing and maintaining compliance across the organisation, ensuring that all processes, protocols, and advice documentation remain aligned with regulatory requirements at every stage of the advice process.We are small, busy financial planning company, you need to be able to communicate at an excellent standard with our clients as well as product and service providers.

Key Responsibilities

Compliance Oversight & Governance (25%)

- Act as the central point of responsibility for compliance across the business
- Ensure all advice processes, workflows, and documentation adhere to current regulatory requirements
- Regularly review and update internal processes, templates, and protocols to maintain compliance
- Identify, elevate, and help remediate compliance risks or breaches
- Liaise with advisers, management, and external compliance providers where required
- Support the implementation of regulatory changes and ensure business readiness

Advice Document Preparation & Quality Assurance (45%)

- Prepare, review, and ensure the accuracy and compliance of all advice-related documents in accordance with industry standards and timeframes.
- Maintain consistency and quality across all client-facing documentation
- Conduct detailed financial modelling, projections, and scenario analysis
- Support strategic client recommendations and portfolio planning,
- Be responsible for research into financial products, strategies, and client scenarios,
- Support advisers in developing compliant and suitable recommendations.

Client Data Management & Analysis (5%)

- Collect,



review, and maintain accurate client financial data
- Ensure integrity and correct application of data within systems and advice processes

Business Processing & External Liaison (20%)

- Manage processing of current and existing business
- Coordinate with external providers and stakeholders
- Liaise with existing staff to ensure a high quality client experience.

Performance Monitoring (5%)

- Support ongoing advice reviews and strategy adjustments

Skills and Competencies

Technical Proficiency

- Financial Planning Software (e.g., Xplan, Fin365, Voyant)
- Knowledge of Microsoft products including Microsoft 365 and Agents.
- Financial Modelling and Projections
- Investment & Superannuation Knowledge
- Risk Insurance Knowledge

Compliance & Regulatory Expertise

- Strong understanding of regulatory frameworks (e.g., FOFA, Best Interest Duty)
- Experience interpreting and applying compliance requirements
- Process governance and audit capability
- Risk identification and mitigation

Analytical & Research Skills

- High attention to detail is essential.
- Data analysis and interpretation
- Strategic research
- Problem-solvingStrong written and verbal communication.
- Team collaboration across advisers and operations

Experience Requirements

- 5+ years in paraplanning, compliance, or financial planning support

Preferred Background:

- Diploma of Financial Planning (or equivalent)
- Bachelor of Commerce




- Bachelor of Business (majoring in Financial Planning, Finance, or Accounting).
- Exposure to compliance or audit functions in financial services
- Strong working knowledge of advice processes and documentation

Level of Judgement

- Requires a high level of independent judgement in:
- Ensuring compliance across processes and advice documents
- Interpreting regulatory obligations
- Reviewing and approving advice quality and structure
- Identifying and addressing compliance risks

Strengths & Values

- Strong commitment to compliance and ethics
- Accuracy and attention to detail
- Analytical thinking
- Accountability and ownership
- Organisational excellence

Key Performance Indicators

Compliance & Risk Management

- Number of compliance breaches or audit findings
- Timeliness and accuracy of compliance reviews
- Successful implementation of regulatory updates
- Quality and consistency of internal processes

Advice Document Quality & Efficiency

- Accuracy rate of advice documents (e.g., <2% error rate)
- Turnaround time for advice documents to be as per industry standards.
- Adviser feedback on quality of outputs

Data Integrity & System Management

- Accuracy of client data in Xplan and other systems
- Timely and correct processing of business applications

Research & Modelling Effectiveness

- Accuracy and reliability of modelling outputs
- Quality of research and strategic insights
- Adviser satisfaction with support provided

Package:

- $120,000 + Super + Bonus (If KPI's are accomplished)
- During probation its expected you will come into the Pagewood office.
- Once through probation likely to move to 2 days in the office per week and 3 days working from home. Post successful completion of probation, the work arrangements are flexible and negotiable.

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📌 Paraplanner/Head of Advice (Rand)
🏢 Loudon Private Wealth
📍 Rand