Job Description
Financial Planning business based in Pagewood, NSW.
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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.
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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.
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Key Responsibilities
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Compliance Oversight & Governance (25%)
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Act as the central point of responsibility for compliance across the business
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Ensure all advice processes, workflows, and documentation adhere to current regulatory requirements
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Regularly review and update internal processes, templates, and protocols to maintain compliance
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Identify, elevate, and help remediate compliance risks or breaches
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Liaise with advisers, management, and external compliance providers where required
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Support the implementation of regulatory changes and ensure business readiness
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Advice Document Preparation & Quality Assurance (45%)
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Prepare, review, and ensure the accuracy and compliance of all advice-related documents in accordance with industry standards and timeframes.
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Maintain consistency and quality across all client-facing documentation
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Conduct detailed financial modelling, projections, and scenario analysis
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Support strategic client recommendations and portfolio planning,
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Be responsible for research into financial products, strategies, and client scenarios,
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Support advisers in developing compliant and suitable recommendations.
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Client Data Management & Analysis (5%)
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Collect, review, and maintain accurate client financial data
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Ensure integrity and correct application of data within systems and advice processes
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Business Processing & External Liaison (20%)
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Manage processing of new and existing business
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Coordinate with external providers and stakeholders
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Liaise with existing staff to ensure a high quality client experience.
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Performance Monitoring (5%)
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Support ongoing advice reviews and strategy adjustments
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Skills and Competencies
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Technical Proficiency
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Financial Planning Software (e.g., Xplan, Fin365, Voyant)
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Knowledge of Microsoft products including Microsoft 365 and Agents.
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Financial Modelling and Projections
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Investment & Superannuation Knowledge
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Risk Insurance Knowledge
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Compliance & Regulatory Expertise
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Strong understanding of regulatory frameworks (e.g., FOFA, Best Interest Duty)
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Experience interpreting and applying compliance requirements
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Process governance and audit capability
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Risk identification and mitigation
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Analytical & Research Skills
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High attention to detail is essential.
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Data analysis and interpretation
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Strategic research
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Problem-solvingStrong written and verbal communication.
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Team collaboration across advisers and operations
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Experience Requirements
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5+ years in paraplanning, compliance, or financial planning support
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Preferred Background:
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Diploma of Financial Planning (or equivalent)
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Bachelor of Commerce
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Bachelor of Business (majoring in Financial Planning, Finance, or Accounting).
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Exposure to compliance or audit functions in financial services
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Robust working knowledge of advice processes and documentation
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Level of Judgement
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Requires a high level of independent judgement in:
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Ensuring compliance across processes and advice documents
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Interpreting regulatory obligations
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Reviewing and approving advice quality and structure
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Identifying and addressing compliance risks
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Strengths & Values
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Strong commitment to compliance and ethics
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Accuracy and attention to detail
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Analytical thinking
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Accountability and ownership
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Organisational excellence
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Key Performance Indicators
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Compliance & Risk Management
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Number of compliance breaches or audit findings
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Timeliness and accuracy of compliance reviews
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Successful implementation of regulatory updates
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Quality and consistency of internal processes
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Advice Document Quality & Efficiency
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Accuracy rate of advice documents (e.g.,
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📌 Paraplanner/Head Of Advice (New South Wales)
🏢 Leading
📍 New South Wales