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.,

📌 Paraplanner/Head Of Advice (New South Wales)
🏢 Leading
📍 New South Wales